The Architect’s Handbook
of Professional Practice
The Architect’s Handbook
of Professional Practice
Fifteenth Edition
R. L. Hayes, Ph.D., AIA
Editor-in-Chief
Cover design: Wiley
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Copyright © 2014 by The American Institute of Architects. All rights reserved
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Library of Congress Cataloging-in-Publication Data:
The architect’s handbook of professional practice / the American Institute of Architects.
— Fifteenth edition.
pages cm
Includes bibliographical references.
ISBN 978-1-118-30882-0 (cloth); ISBN 978-1-118-66713-2 (ebk); ISBN 978-1-118-66805-4 (ebk);
ISBN 978-1-118-66816-0 (ebk)
1. Architectural practice–United States–Handbooks, manuals, etc. 2. Architectural services
marketing–United States–Handbooks, manuals, etc. I. American Institute of Architects.
NA1996.A726 2014
720.68–dc23
2013004584
Printed in the United States of America
10 9 8 7 6 5 4 3 2 1
Contents
Foreword
Preface
vii
ix
Acknowledgments
xi
About the 15th Edition of the Handbook
xv
P A R T 1 THE PROFESSION
1
2
3
4
1
Ethics and Professional Practice
2
1.1 The AIA Code of Ethics and Professional
Conduct 2
1.2 Ethics and Architectural Practice 13
1.3 Design Beyond Ethics 19
Diversity and Demographics
Career Development
7
Financial Management
8
Human Resources
117
4.1 Socially Responsible Design Overview 117
4.2 The Role of Architects in Disaster Response
and Recovery 131
4.3 Architects in the Nonprofit Sector 147
4.4 Public Service and Community
Involvement 156
P A R T 2 FIRM MANAGEMENT
5
Marketing and Business Development
52
Regulation of Professional Practice 52
Intern Development 68
The Career Paths of an Architect 82
AIA Continuing Education System 93
Participating in Professional Organizations 99
Participating in Architectural Education 113
Public Interest Design
6
27
2.1 Diversity and Practice Management 27
2.2 Demographics of Practice: 2012 AIA Firm
Survey 36
3.1
3.2
3.3
3.4
3.5
3.6
5.3 Strategic Planning for the Design Firm 203
5.4 Firm Growth and Development: How to
Build a Creative Culture 216
5.5 Leader Effectiveness 227
5.6 Ownership Transitions 237
5.7 Small-Firm Collaboration 252
5.8 Practicing in a Global Market 262
5.9 Developing and Managing Multiple-Office
Firms 275
5.10 Office Administration 291
5.11 Knowledge Management 308
5.12 Information Management and Services 321
Organizational Development
167
168
5.1 Architects and the Law 168
5.2 Entrepreneurial Practice: Starting an
Architecture Firm 185
6.1
6.2
6.3
6.4
6.5
7.1
7.2
7.3
7.4
Marketing Architectural Services 332
Developing Marketing Strategy 342
Public Relations and Communications 355
Networking and Business Development 370
Qualifications, Proposals, and Interviews 381
396
Navigating Economic Cycles 396
Financial Management Overview 409
Financial Management Systems 418
Developing Annual Budgets and Profit
Planning 428
444
8.1 Human Resources Management
Overview 444
8.2 Compensation Strategy and Philosophy 461
8.3 Recruiting and Hiring: Strategies and
Methodology 475
8.4 Professional Development and Mentoring 487
P A R T 3 PROJECT DELIVERY
9
332
Design Project Deliver y
507
508
9.1 Project Delivery Methods 508
9.2 The Architect’s Role in Construction ManagerConstructor Project Delivery 520
9.3 Integrated Project Delivery Overview 530
9.4 Contractor-Led Design-Build 541
9.5 Architect-Led Design-Build 555
v
9.6 Architect Developer 563
9.7 Emerging Issues in Project Delivery 577
10
11
12
13
Design Project Management
584
10.1 Managing Architectural Projects 584
10.2 Project Teams 603
10.3 Project Budgets, Work Planning, and
Monitoring 621
10.4 Project Management with Building
Information Modeling Processes 641
10.5 Design Phases 654
10.6 Construction Drawings 668
10.7 Construction Specifications 689
10.8 Bidding and Negotiation 701
10.9 Construction Phase Services 713
10.10 Project Completion and PostConstruction 729
Technology in Practice
810
12.1 Origins and Development of Quality
Management 810
12.2 Quality Management in Schematic
Design 822
12.3 Checklists 833
12.4 Quality Management in Construction
Procurement, Contract Administration, and
Post-Construction 847
Building Codes, Standards, and
Regulations 857
13.1 Building Codes and Standards 857
13.2 Planning, Urban Design, and the Regulatory
Environment 880
vi
Contents
Research in Practice
14.1
14.2
14.3
14.4
899
Research in Practice Overview 899
Research Methods 911
Research and Practice 920
Evidence-Based Design 937
P A R T 4 CONTRACTS AND
AGREEMENTS
15
16
740
11.1 Technology in Practice Overview 740
11.2 Technology in Project Delivery Phases 754
11.3 Small Firms, Small Projects, and Building
Information Modeling 764
11.4 Collaborative Technologies 780
11.5 Technology Management 785
11.6 Emerging Technology in Practice 798
Quality Management
14
17
Project Definition
951
952
15.1 Defining Project Services 952
15.2 Services and Compensation 961
15.3 Negotiating Agreement 975
Risk Management
989
16.1 Risk Management Strategies 989
16.2 Insurance Coverage for Business and
Professional Liability 1007
16.3 Risks and Emerging Practices 1021
16.4 Dispute Management and Resolution
1030
Agreements and AIA Document
Program 1040
17.1 Agreements with Owners 1040
17.2 Project Team Agreements 1055
17.3 Owner-Generated Agreements 1070
17.4 Construction Contracts 1083
17.5 The AIA Documents Program 1093
Appendix A: Allied Professional
Organizations 1113
Appendix B: Glossar y
Index
1117
1141
About the Companion Website
1166
Foreword
T
he Architect’s Handbook of Professional Practice, published by the AIA since 1920, has
become the definitive information source of architectural practice for over
90 years. While major changes have altered the demand for design and architectural services in the intervening decades, this handbook has kept pace and has risen in
value to the profession.
The 15th edition, which you are about to read, reflects a range of current AIA
initiatives aimed at improving the built environment and public well-being. At the
same time, it reflects a contemporary ethos with emphasis on diversity and inclusion,
small-firm culture, sustainability, and evolving representational and project delivery
methods such as BIM and architect-led design-build.
How does the Handbook reflect these factors? By including expanded content for
emerging professionals, such as information on career development, as well as expanded
content for established architects who work for or own small and midsize firms. Case
studies and targeted articles, written by real-world practitioners, portray a discipline
that has been recently segmented by economic circumstances, technological change,
and generational difference. Licensed architects, who are united in their professionalism, and those on the path to licensure—both are represented here, united in their
desire to meet a high standard of excellence.
Architecture has become an adaptable enterprise for a world that requires nimbleness, pragmatism, and no small amount of ingenuity. From one architect to another, I
think you will appreciate the strength of the knowledge base on which this 15th edition
rests. I think you will also find it to be an indispensable tool in a time of great change
and even greater opportunity for architects.
Robert A. Ivy, FAIA
EVP/Chief Executive Officer
The American Institute of Architects
Washington, D.C.
vii
Preface
T
he 15th edition of the Architect’s Handbook of Professional Practice builds on its long
tradition as a definitive resource while providing new and significantly revised
material. Since the release of the 14th edition, rapidly developing technologies
saw greater adoption and the economy plunged into recession. These and other changing conditions influence firm management, project delivery, and other aspects of practice, and the 15th edition has been modified and supplemented accordingly.
When the AIA and Wiley’s editorial team asked us to serve on the Steering Group,
we were honored to help guide the development of the 15th edition. Our members
reflect the diversity of the profession in terms of firm size, geographical distribution,
services offered, technologies and delivery methods employed, involvement in academia, and stages of firms and careers. We shared a common goal of crafting a reference relevant to firms of all sizes, and useful to emerging firms and professionals as well
as established practitioners.
The Steering Group started work by reviewing the 14th edition in depth. We met
for intense conversations regarding how the profession had changed and would continue to develop, which topics were important to retain and update, and what needed
to be set aside or added to the 15th edition. As the content took shape, editors called
on steering committee members to continue their involvement by suggesting potential
authors and reviewing submissions.
We hope you find that our efforts—and the efforts of many others—have contributed to a reference that is both timely and farsighted. We were privileged to be part of
this endeavor and believe that the work of the many architects and allied professionals
who undertook to develop and share their expertise has resulted in an indispensable
resource. We expect you will turn to this Handbook many times as you make decisions
related to participating in, developing, and managing a successful practice.
Linda Reeder, AIA
Associate Editor
15th Edition Handbook Steering Group Member
ix
Acknowledgments
I
t has been my privilege to work with those who have participated in the creation of
the 15th edition of the Handbook. I am deeply grateful to the contributing authors
who have generously shared their knowledge. I especially appreciate their willingness
to engage in our peer review process and work closely with the editorial team to produce excellent content.
At the outset of content development for the 15th edition, the Handbook editors
turned to subject matter experts for guidance on many of the chapters. These “chapter
captains,” as we called them, advised us on the articles needed for their chapter and, in
many cases, recommended authors to write them. Many were tireless in their work as
peer reviewers and in assisting us in creating comprehensive chapters with minimum
redundancy. I would like to extend special and heartfelt thanks to these expert advisers,
including Jim Atkins and Phil Bernstein, who gave significant time and thought to the
Handbook effort. Similarly, the guidance and insight of the Steering Group has been
critical to the development of the 15th edition and their effort is also greatly appreciated.
To enable coordination between Handbook authors and their related topics, especially within a chapter, most contributors also served as peer reviewers for the other
authors in their chapters. I truly appreciate the willingness of the authors to accept this
extra task on top of producing their own articles. In addition, we had a number of peer
reviewers who were not Handbook authors and we are sincerely grateful for their
efforts.
The efforts of AIA’s publishing partner John Wiley & Sons, Inc., are also most
appreciated. Katherine Malm Bourgoine, Wiley’s architecture and design Senior
Acquisitions Editor, was always available to offer advice on publishing matters, and
Senior Editorial Assistant Danielle Giordano was extremely helpful in addressing
numerous administrative details.
Finally, on a personal note, I would like to thank the Handbook editorial team for
their excellent work throughout this process. Although our collaboration was conducted almost entirely online, we worked together with remarkable effectiveness. I can
only describe the team as insightful and dedicated and I am honored to have been able
to work with Linda Reeder, Mary Anderson, and Richard L. Hayes.
Rena M. Klein, FAIA
Executive Editor
Handbook, 15th edition
xi
Handbook Participants
Handbook Steering Group
Derrick Choi, AIA
Lisa Chronister, AIA
Kate Diamond, FAIA
Edward R. Frenette, AIA
Donald King, FAIA
Glen S. LeRoy, FAIA
Micheal Lough, AIA
Linda Reeder, AIA
Garth Rockcastle, FAIA
Chapter Expert Advisers
James B. Atkins, FAIA
Victoria Beach, AIA
Phillip G. Bernstein, FAIA
David S. Collins, FAIA
Edward R. Frenette, AIA
Suzanne H. Harness, Esq., AIA
Travis L. Hicks, AIA
Barbara Irwin
Calvin Kam, Ph.D., AIA, PE
Peter G. Longley, AIA
Micheal Lough, AIA
Rachel Minnery, AIA
Ted Sive, FSMPS
Steve L. Wintner, AIA Emeritus
Contributing Authors/Peer Reviewers
Ava Abramowitz, Esq., Hon. AIA
Ronald A. Altoon, FAIA
James B. Atkins, FAIA
Kermit Baker, Ph.D., Hon. AIA
Victoria Beach, AIA
Bruce R. Becker, AIA
Judy A. Beebe, CDFA
Catherine Berg
Phillip G. Bernstein, FAIA
Glenn W. Birx, AIA
Cara Bobchek
Adam Braunstein
Stewart Carroll
Ann Casso
Derrick Choi, AIA
James Chu, MBA
David S. Collins, FAIA
Karen Compton, CPSM
Charles Cordina, AIA
Michael F. Czap, AIA
Deborah M. DeBernard, AIA
Peter A. DeLisle, Ph.D.
Randy Deutsch, AIA
xii
Acknowledgments
Donald W. Doeg, Esq., PE
Cornelius R. DuBois, FAIA
David A. Ericksen, Esq.
Natasha Espada, AIA
Stephanie Evans, AIA
Stephen C. Evans, AIA
Harry M. Falconer Jr., AIA
Thomas Fisher, Assoc. AIA
Kent Freed, AIA, ASLA
Edward R. Frenette, AIA
David Gamble, AIA
Peter L. Gluck, Architect
Sally A. Handley, FSMPS
Kerry B. Harding
Suzanne H. Harness, Esq., AIA
Douglas C. Hartman, FAIA
Mark Hesselgrave, Architect
Travis L. Hicks, AIA
Bradley C. Horst, AIA
Barbara Irwin
Steven J. Isaacs, PE, Assoc. AIA
Barbara J. Jackson, Ph.D.
Calvin Kam, Ph.D., AIA, PE
Rena M. Klein, FAIA
Diane M. Klug, CDFA
Raymond Kogan, AIA
David Koren, FSMPS, Assoc. AIA
Shannon Kraus, FAIA
Scott A Kuehn, AIA
Amaya C. Labrador, Assoc. AIA
John Lape, AIA
Glen S. LeRoy, FAIA
François Lévy, AIA
Peter G. Longley, AIA
Micheal J. Lough, AIA
Ariel Madlambayan, AIA
Paul D. Mankins, FAIA
Rachel Minnery, AIA
Cliff S. Moser, AIA
Kirsten R. Murray, AIA
Kimon Onuma, FAIA
Michael L. Prifti, FAIA
Doris S. Pulsifer
Linda Reeder, AIA
Michael J. Reilly, FSMPS
Gretchen L. Renz, CDFA
David B. Richards, AIA
Donna V. Robertson, FAIA
Tony Rinella, Assoc. AIA
Fredric Schultz
Bill Schmalz, AIA
Mardelle McCuskey Shepley, FAIA
Grant A. Simpson, FAIA
Ted Sive, FSMPS
RK Stewart, FAIA
Winifred Stopps, AIA
Alan B. Stover, Esq., AIA
Michael Strogoff, FAIA
Bruce Toman, AIA
Timothy R. Twomey, Esq., AIA
Susan Van Bell, Esq.
Craig D. VanDevere, AIA
Lee W. Waldrep, Ph.D.
David Wang, R.A., Ph.D.
Steve L. Wintner, AIA Emeritus
Sue E. Yoakum, Esq., AIA
Jess Zimbabwe, AIA
Dan Pitera, FAIA
Elizabeth Plater-Zyberk
Mike Plotnick
Marga Rose Hancock, Hon. AIA
Marc Rosenbaum, PE
Wolf Saar, AIA
David R. Scheer, AIA
Jim. W. Sealy, FAIA
David Seide
Michelle Smith, PHR
James A. Walbridge, AIA
Drake A. Wauters, AIA
Carole Wedge, FAIA
Jay Wickersham, FAIA
Alex Wilson
Kim Yao, AIA
Backgrounder Contributors
Patrick Bannon, Esq.
Matthew A. Barstow
Bryan Bell
Erica J. Brown, AIA
Catherine Calvert, AIA
Rosalyn Cama, FASID
Susan A. Chin, FAIA
William Donald, CBCP
Katy Flammia, AIA
Jane Frederick, FAIA
Christopher J. Green, FAIA
Maureen Guttman, AIA
D. Kirk Hamilton, FAIA
Mary Johnston, FAIA
Ray Johnston, AIA
Joseph H. Jones Jr., Esq., AIA
Susan Jones, FAIA
Tina Keller
Sharon Lobo
Sanjoy Mazumdar, Ph.D.
Douglas Morgan
Ceara O’Leary
Erin K. Peavey, Assoc. AIA
Other Peer Reviewers
Jonathan Barnett
Michael Crosbie, FAIA
Sheri Dieso, AIA
Jean Dufresne, AIA
Alex Garvin
Martin Onorato, AIA
Michael Peterson, AIA
Robert P. Smith, AIA
Ross Spiegel, FAIA
Christopher Wilton
Wiley
Katherine Malm Bourgoine
Danielle Giordano
Donna Conte
AIA Handbook Editors
Richard L. Hayes, Ph.D., AIA, Editor-inChief, Director AIA Knowledge
Resources
Rena M. Klein, FAIA, Executive Editor
Linda Reeder, AIA, Associate Editor
Mary Anderson, Editorial Assistant
Acknowledgments
xiii
About the 15th Edition of
the Handbook
M
uch has changed in the practice of architecture since the publication of the
Handbook’s 14th edition in 2008. Many tools that architects take for granted
in 2013 were not widely used or available in 2008. More important, in 2008
the U.S. economy fell into the grip of a widespread and deep economic downturn, with
a long-awaited recovery just now beginning at the time of this writing.
Many articles in the 15th edition discuss the significant impact of the Great Recession on the profession of architecture, including “Navigating Economic Cycles” by AIA
Chief Economist Kermit Baker. Chapters on firm management, particularly in the
areas of human resources and marketing, benefit from insight gained during this difficult period. Articles such as “Entrepreneurial Practice: Starting an Architectural
Firm” offer understanding gained from practice experience about management strategies that respond to the new norm.
Significant changes in technology and project delivery have also taken place since
2008. Architects and owners are increasingly turning to delivery methods other than
traditional design-bid-build in an effort to improve effectiveness and reduce risk. The
15th edition includes an expanded section on project delivery. It also includes, for the
first time in the Handbook, an entire chapter devoted to technology.
While there is no chapter specifically focused on sustainability in the 15th edition,
the topic is not being ignored. Just as sustainable design is no longer additive but
instead integrated into the work of most architects, the topic of sustainable design has
been integrated into other content. This is particularly true in relation to teamwork,
project delivery, and codes. A case study that illuminates strategies for sustainable office
management practices is also included.
NE W TO T H E 15TH EDITION
Two-thirds of the 15th edition content is completely new, reflecting the state of practice in 2013 and looking ahead to emerging trends. In an effort to present the most
current information, over 90 percent of 15th edition authors are new to the Handbook,
although all are experts in their topics. These authors have contributed articles that are
new to the Handbook, have written new articles on topics that have previously appeared
in the Handbook, or have updated articles written for the 14th edition by others. Many
of these authors are seasoned practitioners, sharing insight sourced from personal practice experience. Overall, they represent a diverse group that is meant to be reflective of
the profession as a whole.
New Chapters
In addition to Technology in Practice, the 15th edition includes a number of other chapters that are new to the Handbook. These include:
• Diversity and Demographics. The importance of diversity as a practice management issue is discussed in this chapter along with a historical perspective on diversity in the AIA. Significant data on practice trends from The Business of Architecture:
AIA 2012 Survey Report on Firm Characteristics are also presented.
xv
• Career Development. Contributions from the National Council of Architectural
Registration Boards (NCARB) explain the basics of the Intern Development Program and the path to licensure for emerging professionals. For seasoned practitioners, articles have been included to help increase understanding of the regulatory
environment of professional practice, including state-mandated continuing education (MCE) and certification as a minority, women-owned, or small business enterprise.
• Public Interest Design. This new chapter reflects the growing interest and participation by architects in activities that benefit local communities and the public at
large. Many examples of how architects are applying their skills and talents for the
public good are included. Also discussed is the architect’s role in disaster recovery
and preparedness, pro bono work, and the profession’s engagement with the nonprofit sector.
• Research in Practice. Research is increasingly becoming a regular and integrated
aspect of architectural practice. In this chapter, academic researchers who work in
practice settings and experienced practitioners who engage in research discuss various topics, including evidence-based design and research in a small firm context.
More Content for Smaller Firms
For the 15th edition, care has been taken to include information and best practices that
are applicable to architects who practice in small and midsize firms, as well as large
firms. Authors have been encouraged to help readers understand how to apply general
information and recommend processes that work in the context of smaller practices.
Authors from small firms were asked to write about their experiences to supplement
information that might apply only to larger firms.
As a result there are a number of backgrounders targeted to small-firm practitioners, such as “Professional Developing and Mentoring in Small Firms,” “Architect-Led
Design-Build for Small Projects and Small Firms,” “The Multi-Office Small Firm,” and
“Research in Small Firm Practice.” There is also an article called “Small Firm Collaboration,” which explores ways that small firms are aligning with other design firms
to acquire and deliver work. And in the realm of technology, there is an article about
using Building Information Modeling (BIM), called “Small Firms, Small Projects, and
BIM.”
Expanded Business Management Content
Twenty-first-century business realities require that entrepreneurial architects and their
staffs develop skill in business management. The chapters on organizational development, marketing, finance, and human resources contain articles that demystify concepts
and introduce firm leaders to best practices in each management arena. Consultants,
who possess deep knowledge of specific aspects of practice, are the authors of most of
these articles.
For owners of midsize firms with mature practices, there are articles on developing
multiple offices or a global practice, and advice on how to maintain a culture of creativity. Articles on ownership transition, leadership effectiveness, the legal context of practice, and more provide information and knowledge vital to leaders of firms of all sizes.
N AV IGATIO N A L FE ATU R E S
The Handbook is divided into four major sections:
•
•
•
•
xvi
Part 1: The Profession
Part 2: Firm Management
Part 3: Project Delivery
Part 4: Contracts and Agreements
About the 15th Edition of the Handbook
Each part contains a number of chapters. For example, “Part 4: Contracts and
Agreements” includes the chapters “Project Definition,” “Risk Management,” and
“Agreements and AIA Documents.”
Each chapter contains multiple articles. Each article addresses a specific aspect of
practice within the practice area covered by the chapter. For example, the chapter
“Design Project Delivery” contains articles on integrated project delivery, designbuild, and construction management, among others.
Some articles include backgrounders that elaborate on an aspect of the topic or
bring a new perspective. For example, the article “Recruiting and Hiring” contains a
backgrounder on social networking in recruiting activities.
Most articles conclude with a “For More Information” section, which lists and
describes relevant resources about the subject. These resources may include publications, organizations, and URLs.
HOW T O USE TH E H AN DBOO K
The Handbook is designed to have multiple entry points. It is expected that most users
will have an interest or need for knowledge in a particular area of practice and start
there.
Articles can be read individually and in any order. Many chapters begin with an
overview article that can direct the reader to the location of more detailed information
on a particular topic. When articles in a chapter are taken together, they are intended
to present the whole picture of a practice area. Users may want to read an entire chapter to gain fuller understanding of the material presented in any one of the articles. For
example, the articles on financial management work best when read together.
The index, which contains key words and concepts, will help readers readily find
specific information. In addition, margin elements on the article pages contain both
navigational and informational features by
• Reinforcing some aspect of the narrative with a quote
• Highlighting key ideas in brief notes or comments
• Pointing to related Handbook articles and backgrounders
T HE HAN DBOOK AN D TH E “STAN D A R D O F C A R E ”
Architects are expected to perform within the legal concept of the “standard of care,”
which considers what reasonably prudent architects would do in the same community
at the same time, facing the same or similar circumstances. As a result, fixed or uniform
standards cannot be used to evaluate the performance of architects. Thus, the Handbook does not contain absolute rules and procedures. Rather, it presents concepts,
principles, techniques, and other fundamental information that together provide guidance for the day-to-day needs of architects and other building design professionals.
Rena M. Klein, FAIA
Executive Editor
About the 15th Edition of the Handbook
xvii
P A R T 1
THE PROFESSION
Laws, regulations, and codes of conduct
govern the profession of architecture and
define the obligations of architects to the
public. AIA members comprise a
community of practice that additionally
agrees to abide by its Code of Ethics and
its requirements for continuing education.
For prospective architects, the path to
licensure is prescribed. For emerging and
mature practitioners, professional life
includes participation in professional
organizations and architectural education.
For some architects, professional life at
every stage includes engagement in public
interest design.
PA R T 1 : T H E P R O F E S S I O N
C H A P T E R
1
Ethics and
Professional
Practice
1.1
The AIA Code of Ethics and
Professional Conduct
Michael L. Prifti, FAIA
Members of the American Institute of Architects lead the way through the highest
standards of professionalism, integrity, and competence. The Code of Ethics and
Professional Conduct is both guide and measurement of those practices.
IN TR OD U C TI O N TO TH E C O D E O F E TH I C S
AN D E TH IC A L P R A C TI C E
Architecture in built form is exclusively predicated on the universal constant of gravity.
This is true regardless of location, weather, material, building or client type, codes and
regulations, aesthetic, or other variable. Architecture as a practice is equally based on a
moral foundation of professionalism, with responsibilities to the general public, our
respective clients, to the profession itself, our colleagues, and to the shared environment
Michael L. Prifti is managing principal of BLT Architects, a firm headquartered in Philadelphia,
Pennsylvania. Prifti has played an instrumental role in promoting professional practice, serving
for two terms on the National Ethics Council and speaking at numerous AIA National Conventions on related topics such as “The Role of Ethics in Sustaining the Profession.”
2
that surrounds all of us. For members of the American Institute of Architects (AIA), the
concise language of the Code of Ethics and Professional Conduct is both guide and
measuring stick for professional behavior.
PA R T 1 : T H E P R O F E S S I O N
HI ST ORY OF TH E AIA C ODE O F E TH I C S
In 1909, the AIA first adopted a formal set of rules governing the conduct of architects.
The rules were published as “A Circular of Advice Relative to Principles of Professional Practice and the Canons of Ethics.” According to the National Council of Architectural Registration Boards (NCARB), only four states (Illinois, New Jersey,
California, and Colorado) had by that time adopted laws regulating the practice of
architecture. As a result, the AIA’s rules served to set standards for practice in much of
the country. The AIA periodically revised its ethical code in mostly limited ways during
the ensuing 60 years.
Limitations Imposed by Antitrust Law
Unlike the NCARB member registration boards, each of which is a part of a state or
other government entity, the AIA is a nongovernmental organization. State governments and their agencies enjoy various powers and privileges that do not extend to
other types of organizations or to individuals. As a result, both the scope of professional
rules adopted by the AIA and the manner of their enforcement by the AIA necessarily
differ from what registration boards may do.
Antitrust law imposes significant restrictions on what conduct the AIA can mandate
or prohibit in a code of ethics for its members. Although antitrust law is complex, its
general purpose is to foster economic competition. One way that antitrust law accomplishes this goal is to prevent competitors in a given market from acting together to
unreasonably restrain competition. Because the members of the AIA are competitors
of each other, AIA activities cannot be carried out with the purpose or effect of reducing competition in ways that courts have found to be unreasonable, that is, without
having an offsetting precompetitive effect.
In the 1970s, in various legal proceedings, the U.S. Supreme Court and other
courts established new understandings of antitrust law as applied to professional
membership associations, including their codes of ethics. As a direct result, the AIA’s
own code of ethics was repealed in 1980, temporarily replaced by unenforceable
“Ethical Principles,” then completely revised and reinstituted as a new enforceable
Code of Ethics and Professional Conduct in 1987. The structure and much of the
content adopted in 1987 continue to be reflected in the current version of the AIA’s
code of ethics.
Prior Provisions No Longer in the Code
Some subjects were covered in pre-1980 versions of the AIA’s code of ethics but are no
longer covered, mostly as a result of restrictions imposed by antitrust law. Prominent
in a list of such subjects is any restriction pertaining to fees or compensation for services. In a 1978 appeal by the National Society of Professional Engineers, the U.S.
Supreme Court specifically held that a professional association’s ethical code may not
prohibit competitive bidding—despite the argument that such a regulation would further public health, welfare, and safety.
The absence of ethical provisions regarding fees has a broader effect than just
competitive bidding or minimum fee amounts, however. There is no ethical restriction
on providing free services whether or not part of marketing; providing services at no
charge is, of course, simply charging a fee of zero. Similarly, there are no ethical restrictions specifically pertaining to design competitions, which amount to providing services for no fee or a very small fee.
1.1 The AIA Code of Ethics and Professional Conduct
3
Other subjects no longer prohibited by the AIA code of ethics include:
PA R T 1 : T H E P R O F E S S I O N
• Supplanting or replacing another architect on a project. Historically, it was considered
unprofessional to have any business contact with another architect’s client. The AIA
code of ethics does not prohibit such conduct.
• Advertising. The AIA’s code does not prohibit advertising of professional services.
The code does contain provisions that could be violated in the context of advertising, however, such as making false statements or failing to properly credit other
participants in a project.
• Contracting to do construction. The 1909 code prohibited engaging in any of the
“building trades” or guaranteeing any estimate. These restrictions, which are incompatible with design-build, disappeared by the 1970s.
• Determinations of law. Prior versions of the code did not shy away from provisions
that required legal analysis. For example, prior to 1997 the code made explicit reference to copyright. Currently, however, in order for any legal or regulatory violation
to be taken into account in application of the AIA’s code of ethics, the legal or regulatory determination must have been made by an appropriate authority.
TH E S IX C AN ONS OF T HE AIA CO D E
OF E T H IC S
S TR U C TU R E O F TH E C O D E
C ANO N I : GE N E R A L OB L I GAT I ON S
The code is arranged in three tiers of statements: Canons,
Ethical Standards, and Rules of Conduct.
Members should maintain and advance their knowledge
of the art and science of architecture, respect the body of
architectural accomplishment, contribute to its growth,
thoughtfully consider the social and environmental
impact of their professional activities, and exercise
learned and uncompromised professional judgment.
C ANO N I I : OB L I GAT I ON S T O T H E PUB LIC
Members should embrace the spirit and letter of the law
governing their professional affairs and should promote
and serve the public interest in their personal and
professional activities.
C ANO N I I I : OB L I GAT I ON S T O T H E C LIEN T
Members should serve their clients competently and in a
professional manner, and should exercise unprejudiced
and unbiased judgment when performing all professional
services.
C ANO N I V: OB L I GAT I ON S T O T H E PR OF ES S ION
Members should uphold the integrity and dignity of the
profession.
• Canons are broad principles of conduct. The code of ethics primarily addresses responsibilities that architects
and other AIA members have to others. Except for
Canon I, General Obligations, the canons reflect the
categories of those to whom duties are owed: the public,
clients, the architectural and related professions, colleagues (as individuals), and the environment.
• Ethical Standards are more specific goals toward which
members should aspire in professional performance and
behavior.
• Rules of Conduct are mandatory. Violation of a Rule of
Conduct is grounds for disciplinary action by the Institute. Rules of Conduct, in some instances, implement
more than one Canon or Ethical Standard.
Commentary is provided for some of the Rules of
Conduct. That commentary is meant to clarify or elaborate the intent of the rule. The commentary is not part of
the code, however. Enforcement is determined by application of the Rules of Conduct alone. The commentary is
intended to assist those who are seeking to conform their
conduct to the code as well as those who are charged with
its enforcement.
C ANO N V: OB L I GAT I ON S T O C OL LEAGUES
Members should respect the rights and acknowledge the
professional aspirations and contributions of their
colleagues.
C ANO N V I : OB L I GAT I ON S T O T H E
E NVIRONM E N T
Members should promote sustainable design and
development principles in their professional activities.
4
Ethics and Professional Practice
N ATI O N A L E TH I C S C O U N C I L
The bylaws of the AIA establish the processes under which
the ethical code is adopted, amended, and enforced. The
bylaws provide for the establishment of a National Ethics
Council, which has the authority to interpret the Code of
Ethics. Individual members, officers, directors, employees,
and officers and staff of state and local components of the
AIA do not have this authority.
PA R T 1 : T H E P R O F E S S I O N
The National Ethics Council is the body charged by the bylaws to enforce
ethical matters in the practice of architecture, in accordance with current, published editions of the Code of Ethics and Rules of Procedure. It does so through
the process of complaint and response, measuring ethical behavior as defined by
the code. The Council also considers proposed changes to the code for adoption
by the Board of Directors or membership of the Institute, and may itself propose
revisions. The Council amends its Rules of Procedure when appropriate, with any
such changes requiring approval of the Board of Directors. As part of its educational mission, the Council conducts programs at the annual National Convention
and at other component events. Occasionally, members of the Council publish
articles on ethics.
The Council operates with operational support provided by the Institute’s Office
of General Counsel. The Council publishes on the Institute’s website all of its publicly
available information. This information can also be obtained by contacting the Office
of General Counsel.
Composition of and Appointments to the Council
As established by the AIA’s bylaws, the National Ethics Council consists of up to 12
architect members of the Institute, appointed by the Board of Directors to staggered three-year terms. Typically, the Council operates with seven members, each
of whom generally is reappointed to a second three-year term. Individual terms are
staggered to enhance institutional memory since Council members are not permitted to serve more than two consecutive three-year terms. Nominations for new
appointments to the Council are made by the Institute’s president with the advice
of the Council. The Council’s chairperson is also appointed annually by the Board
of Directors following recommendation of the Council and nomination by the
Institute’s president.
Promulgation of the Code of Ethics
The National Ethics Council’s page on the AIA website contains the current Code of
Ethics, supporting documentation, and all necessary forms. In addition to violation
notices published upon the conclusion of a case, decisions of the Council are also published in redacted form, that is, with names, places, and other identifying information
removed. Prospective ethical matters may also be addressed through published advisory opinions issued by the Council upon request.
Redacted Decisions
Decisions of the Council in redacted form are published on the National Ethics
Council’s page of the AIA’s website. These decisions are analogous to case law in a
legal system and provide examples of how the National Ethics Council has applied
various Rules of Conduct in contested cases. It should be noted, however, that prior
decisions do not have binding authority on the Council in applying the Code of Ethics in any particular case that comes before it. Summaries of two such decisions are
included here.
Advisor y Opinions
The National Ethics Council offers the opportunity to AIA members to request advisory opinions be issued that apply the Code of Ethics to particular factual situations.
Unlike complaints, which the Council always accepts in keeping with its current Rules
of Procedure, granting a request for an advisory opinion is at the discretion of the
Council. Decisions issued at the conclusion of a contested complaint have the benefit
of the fact-gathering hearing process and usually input from both a complainant and a
respondent. Advisory opinions, by comparison, ordinarily would be based on the single
point of view of the member making the request.
1.1 The AIA Code of Ethics and Professional Conduct
5
Changes in the Code of Ethics and Complaint Process
How the Code Itself Is Modified
PA R T 1 : T H E P R O F E S S I O N
The AIA’s bylaws provide two means for amending the Code of Ethics. The Institute’s
Board of Directors is empowered to adopt amendments at any time. In addition, the
members as a whole, through a vote of their delegates at an annual meeting, may adopt
amendments. Typically, amendments have been made by the Board.
How the Rules of Procedure Are Modified
The National Ethics Council is given authority by the AIA’s bylaws to adopt the rules
under which it operates, subject to specific requirements set by the bylaws themselves.
Under the Council’s Rules of Procedure, notice is given to the Board of Directors
annually of any amendments adopted by the Council. The rules under which appeals
are taken are established by the bylaws and the Board of Directors.
C OMP LAIN T P R O C E S S
Confidentiality
The AIA’s bylaws require that the complaints filed with the National Ethics Council
and the complaint processes that follow are maintained in confidence. Limited exceptions to the confidentiality requirement apply, as, for example, when a member is found
to have committed a violation and a nonconfidential penalty is imposed. The confidentiality requirement does not prevent the complainant or respondent from contacting
persons who already have knowledge of the circumstances described in the complaint
and who are therefore potential witnesses. Maintaining confidentiality prevents an
ethics complaint from becoming a subject of discussion beyond those who are already
involved in the circumstances. In some instances, of course, no violation is ultimately
found or only a confidential penalty is imposed for a minor infraction. In those
instances, confidentiality ensures that the respondent does not suffer from publicity
about the ethics complaint.
Filing of Complaints and Circumstances of Dismissal
Anyone who is directly aggrieved by the conduct of a member of the Institute may
lodge a formal complaint against the member. This must be done in accordance with
the Council’s Rules of Procedure. A time limit of one year is imposed for filing a complaint after the alleged violation unless good cause for delay is shown.
Complaints are filed with the chairperson of the Council by sending them to the
Institute’s Office of General Counsel, which provides staff support for the Council.
The format for complaints is established by the Council’s Rules of Procedure, and a
form is provided for this purpose. Once staff has determined that a complaint meets the
formal requirements of the Rules of Procedure, the complaint will be reviewed
by the Council chairperson, who may dismiss or defer the complaint, or determine that
the case should proceed.
The chairperson is authorized to dismiss a complaint when the matter is trivial, when
filing was delayed beyond the one year time limit without good cause, or if the matter
would not result in an ethical violation, even if the facts alleged were proven to be true.
The latter reason is analogous to the “motion to dismiss” standard in legal proceedings,
but the Council does not follow any procedure analogous to “summary judgment.”
The chairperson typically will defer a case if the parties are involved in litigation,
arbitration, or another dispute resolution process, including a proceeding before a
licensing board. In that instance, both parties will be notified of the deferral and a copy
of the complaint will be sent to the respondent. Deferral due to another proceeding is
not uncommon. About half of the complaints filed with the Council are deferred either
upon initial filing or later if another dispute resolution proceeding is initiated.
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Ethics and Professional Practice
PA R T 1 : T H E P R O F E S S I O N
In nearly all other instances, however, the Chair will determine that the initially
filed complaint should proceed, and the Council forwards it to the respondent for
response. As with a complaint, the form for the respondent’s response is established by
the Rules of Procedure, and a form is provided for this purpose. In the event that a
respondent does not file a response after being notified, the complaint process will
nevertheless proceed. Even if a respondent remains uncommunicative while the ethics
case is proceeding, the Council sends notices of all opportunities for the parties to
participate.
The Hearing Officer
Unless information received from the respondent would support dismissal or deferral
of the ethics case under the same standards that apply to review of the complaint itself,
the chairperson assigns the case to one of the other members of the Council who will
serve as the hearing officer. This selection is predicated on an absence of previous
knowledge of the matter and existence of significant ties to the complainant, the
respondent, or any of the likely witnesses. To help meet these standards and to avoid
other possible conflicts, the Council member selected to serve as a hearing officer is
often located geographically distant from parties to the case. Notice of the hearing
officer’s appointment is sent to both the complainant and respondent to allow them to
challenge the appointment by reason of alleged bias, prejudice, or conflict of interest.
The hearing officer serves in a capacity similar to an arbitrator. One major difference, however, is that a Council member serving as hearing officer is not the decision
maker in the case but runs the process during the pre-hearing and hearing phases. The
hearing officer’s responsibilities for a case largely end with submission of a report and
recommendation as described below.
After receiving the case file, the hearing officer will review the complaint, response,
and accompanying documentation in order to independently confirm whether the case
should proceed based on the same standards under which the complaint was initially
reviewed by the chairperson. Dismissal or deferral by the hearing officer is subject to
concurrence by the chairperson.
The complaint process does not provide for counterclaims, even in circumstances
when the complainant is a member of the AIA. Upon occasion, a respondent has filed
a separate complaint against an original complainant while the original complaint is
pending. Although the Council formally treats the two cases separately, in the past the
same Council member has been appointed to serve as hearing officer in both cases in
the interest of efficiency.
Before the Hearing
The AIA’s ethics complaint process is streamlined and does not include features of
more formalized dispute resolution methods. Discovery of the opposing party’s information through depositions and document production, which are common to litigation
and arbitration, is not a part of the Council’s procedures. As a nongovernmental organization, the AIA does not have governmental powers and has little means, if any, by
which to enforce directives to complainants, respondents, or third parties to produce
information that may be relevant to a case. With limited exceptions, a complainant and
a respondent both come to a hearing primarily with the information they have in their
own possession.
One essential step in preparing for an ethics hearing is for the hearing officer to
conduct a pre-hearing conference, which is akin to a pretrial conference conducted by
a judge in a court case.
The conference, which is typically by telephone, ordinarily includes introductions,
brief statements by the parties regarding their views of the case, and reference to the
possibility of settlement between the parties. The parties are permitted to have their
counsel or their designated non-attorney advisers participate in this call. The
1.1 The AIA Code of Ethics and Professional Conduct
7
PA R T 1 : T H E P R O F E S S I O N
conference call is neither transcribed nor recorded, and nothing said during the call
becomes part of the case record. The hearing officer may ask questions of the parties
in order to better understand the framework of the dispute. A date for the hearing is
set, along with a location, in the event that the complainant and respondent are not in
the same area.
Also established during the pre-hearing conference call is a deadline for the parties
to submit and exchange various information in advance of the hearing, notably including their expected witnesses and any additional documents (not submitted with the
complaint or response) that will be used as evidence at the hearing. This pre-hearing
exchange largely constitutes the extent of “discovery” in the AIA’s ethics complaint
process.
Hearing
The hearing is conducted as an in-person meeting among the hearing officer (assisted
by staff counsel), the complainant, the respondent, and their respective counsel or
other designated advisers. Witnesses are ordinarily allowed to be present in the room
only during the time that they are giving their testimony. The hearing is also attended
by a court reporter, retained by the AIA, who makes a transcript of the proceedings for
the case record. Most commonly, a hearing lasts the better part of a day, but occasionally the amount of information to be presented may require more than one day.
As with the pre-hearing conference call, the hearing officer presides. No evidence
is typically permitted beyond what was indicated by the parties in their pre-hearing
exchange of information. The hearing typically follows the following agenda: brief
opening statements by both parties, presentation of the complainant’s evidence, presentation of the respondent’s evidence, and, finally, brief closing statements by both
parties. After each witness (usually including the complainant and respondent) provides
testimony, an opportunity is provided to the opposing party to ask questions of the
witness. The hearing officer (and staff counsel) also frequently have questions to ask a
witness to complete the record. During the hearing, the complaint, the response, and
the supporting documentary evidence submitted by each party are marked as exhibits
for inclusion in the case record.
Repor t and Recommendation
Following the hearing, the hearing officer prepares a Report and Recommendation.
This written document describes the circumstances of the case, cites the Rule(s) of
Conduct from the Code of Ethics that were alleged to be violated, presents pertinent
facts, states the hearing officer’s conclusions regarding violations, and, if a violation is
found, recommends a penalty. This Report and Recommendation is distributed to the
parties, who are given the opportunity to submit written comments.
Deliberation and Decision by the Council
The entire case record is submitted to the members of the Council for their review.
The case record includes the Report and Recommendation, the reporter’s transcript of
the hearing, the hearing exhibits, and the written comments, if any, submitted by the
parties. At a subsequent meeting of the Council, the hearing officer makes introductory
remarks and responds to questions that the other Council members may have, after
which the hearing officer withdraws and is not present for any case deliberations. If
either of the parties has requested to appear before the Council, they also may make
short statements and respond to questions the Council members may have.
The Council conducts a vigorous review and deliberation of the transcript, other
evidentiary materials, and the hearing officer’s Report and Recommendation. The
Council makes its determinations by majority vote and authors the written decision,
which is subsequently issued to the parties. In the event no ethical violation is found, the
8
Ethics and Professional Practice
case is closed and confidentiality continues to protect the innocent respondent. Should
the Council find one or more violation has occurred, a penalty will be determined.
Penalties
PA R T 1 : T H E P R O F E S S I O N
Penalties that may be imposed for ethical violations are set by the AIA’s bylaws. The
National Ethics Council does not have the authority to require a respondent to pay
money. The Council also does not have the authority to require a respondent to take
any action or to refrain from any conduct. Penalties are imposed in keeping with the
severity of the violation by the respondent in the eyes of the Council.
Unintended or relatively minor matters may result in a nonpublic admonishment.
More significant violations are made public and are of increasing severity. First is a
censure of the respondent, which includes publication of a notice describing the violation in an Institute periodical. Next, membership in the Institute may be suspended for
a period of time, usually one to three years. In more egregious matters, membership is
terminated. In all instances of violation, the respondent’s AIA membership record will
reflect the penalty, although the AIA will maintain confidentiality in the matter except
for the published notice of violation.
Appeals
Members found in violation of the Code of Ethics may choose to appeal the decision
of the Council to the AIA’s Executive Committee. In an appeal, both parties are given
an opportunity to submit statements to the Executive Committee. The Executive
Committee is provided the entire case record for consideration. Except in cases where
the penalty is termination, the decision of the Executive Committee is final, and no
further appeal is offered. Upon appeal, the Executive Committee may approve the
Council’s decision and penalty, approve the decision but reduce the penalty, dismiss the
complaint, or return the matter to the Council for further proceedings.
Matters resulting in termination are automatically considered as an appeal. In such
cases, the Council’s decision is first considered by the Executive Committee. In the
event that the Executive Committee approves the decision and the penalty of termination, the case is further considered as an appeal by the full AIA Board of Directors. The
Board is provided the Council’s decision, the parties’ statements to the Executive Committee, and the Executive Committee’s decision. The Board may concur in the Executive Committee’s decision or return the matter for reconsideration.
P RA CT I C AL C ON SIDERATION S
Although the number of cases pending before the National Ethics Council varies, usually between 20 and 30 complaints are filed each year. Because of the requirement of
confidentiality, most of these will never be made known to the public in any fashion.
Only in cases where violations are found, accompanied by penalties of censure, suspension, or termination, are the names of the respondents disclosed.
Guidelines for Complaint and Response
Complaints
Regardless of category, the formal complaints will cite one or more Rules of Conduct
and briefly describe the circumstances of alleged violation. It is essential that complainants thoroughly and accurately understand the rules chosen for citation and that the
argument be clearly stated.
Responses
A member’s response to a complaint falls into a few broad categories, regardless of the
particulars of the matter. Best are the thoughtful, well-documented responses filed in
1.1 The AIA Code of Ethics and Professional Conduct
9
PA R T 1 : T H E P R O F E S S I O N
a timely way. Unfortunately, some responses are not timely or thorough. Worse are
cases where a response is not provided, which can result in a finding of violation.
Regardless, the formal response should address each of the Rules of Conduct cited in
the complaint and briefly refute the alleged violation. It is equally essential that respondents thoroughly and accurately understand the Rules of Conduct allegedly violated
and that their rebuttal argument be clearly stated.
Effective Communications and Proof
The hearing officer’s role is to facilitate fact-finding and submission of information by
the parties, not as an investigator or judge. The burden of proof of a violation rests
exclusively with the complainant. Inappropriate citation of Rules of Conduct, lack of
supporting evidence, large amounts of irrelevant information, and presenting selfserving witnesses are unlikely to be persuasive. The same cautions hold true for the
respondents, who are well advised to take care to address each of the allegations comprehensively and in correct sequence.
C OMMON C O MP LA I N TS
Attribution of Credit
Because architecture firms market their services based on their portfolios of completed work, it is no surprise that some of the most frequent complaints are filed by
architects against other architects over project credit provided or taken. These circumstances may arise out of the dissolution of a firm or the departure of a principal
from a firm. Other credit disputes may be prompted by the departure of project staff
members from a firm or between firms formerly in joint venture or other collaboration on project work.
ATTR IB U T ION: CASE 2004–1 0
Case 2004–10 involved a complaint by an architect member
against two other architect members regarding project credit,
citing Rules 4.201, 5.201, and 5.202. The Complainant
founded an architecture firm 30 years ago and was chairman of that firm. Respondent A was a former employee of the
Complainant of 10 years’ duration, departing to become
vice president and managing principal of a regional office of
the Respondents’ architecture firm. Respondent B was a
senior vice president of the Respondents’ firm. A hearing was
held with the Complainant and both Respondents present and
participating.
Testimony at the hearing established that, at the time of
the move, Respondents’ firm hired a marketing consultant
to publicize Respondent A’s new presence as manager of
one of the firm’s regional offices. A folded announcement
brochure prepared by the marketing consultant was
reviewed by both Respondents and subsequently mailed to
prospective clients of the Respondents’ firm, including some
clients of the Complainant’s fi rm. The announcement
described Respondent A as “one of this region’s leaders in
architectural design and project management with over
$200 million in projects and 10 years of award-winning
10
Ethics and Professional Practice
design and project management experience.” The
announcement also stated: “Her portfolio includes the
acclaimed Office Building, Sports Facility, and College
Facility, as well as other award-winning facilities like the
Stadium, the University Facility, and the University Hospital.” The Complainant learned of the announcement from
clients who were confused by the fact that the Complainant
firm’s projects were being attributed to the Respondents’
firm without mention of Complainant’s firm.
Initially, the Complainant sought the publication of specific corrections to the announcement by the Respondents’
firm but without success. The Complainant then filed a complaint with the National Ethics Council, alleging an absence
of credit and improper use of photographs that had been
commissioned by the Complainant’s firm. At the hearing, the
parties offered testimony regarding permission for Respondent A to use materials from her former firm, which had no
published policy regarding the use of photographs or other
project materials by former employees. It was established
that another principal of the Complainant’s firm, Respondent
A, and the former counsel to the Complainant’s firm had met
as friends for lunch a few months after Respondent A’s
of a firm may be held accountable under the Code of Ethics for their fi rm’s marketing materials regardless of
whether they are directly involved in preparation of the
materials. (See Decision 92-07; Decision 94-07.) In this
case, the testimony reflected Respondent B’s awareness of
the content, review, and approval of the announcement
prior to publication. Hence, Respondent B also violated
Rule 4.201 by making misleading and deceptive
statements.
Regarding Rule 5.201 (“Members shall recognize and
respect the professional contributions of their employees,
employers, professional colleagues, and business associates”), the Council concluded that Respondent A had both
overstated her project influence on certain projects and
understated the contributions of the Complainant’s firm, creating an impression that the projects were projects of the
Respondents’ firm. The Council concluded that both Respondent A and Respondent B violated Rule 5.201 by failing to
provide appropriate credit to the Complainant’s firm for its
professional contributions.
Applying Rule 5.202 (“Members leaving a firm shall not,
without the permission of their employer or partner, take
designs, drawings, data, reports, notes, or other materials
relating to the firm’s work, whether or not performed by the
Member”), the Council determined that testimony did not support Respondent A’s claim that she had tacit approval to take
and use the Complainant’s firm’s photographs of that firm’s
projects and concluded that Respondent A had violated Rule
5.202. Having found a violation by Respondent A of three
cited rules, and by Respondent B of two cited rules, these
ethical lapses warranted a penalty of censure on both of the
members.
PA R T 1 : T H E P R O F E S S I O N
departure. During that conversation, Respondent A’s experience at the Complainant’s firm was discussed and use of the
Complainant’s firm’s projects by the Respondent’s firm as
examples of Respondent A’s experience was deemed acceptable as long as the Complainant’s firm was given credit. The
discussion did not include permission to use Complainant’s
project photographs given to Respondent A, and the type of
materials her new firm might want to use was unspecified.
Other evidence submitted at the hearing included promotional materials of the Respondents’ firm that incorporated
photographs of Complainant’s firm projects, including nine
of the Complainant’s firm projects as examples. While several dozen photographs were used, all of which were commissioned by Complainant’s firm, identification of the
Complainant’s firm was by text under only one photograph
of each example. The type font was smaller than that used in
the body of the text describing the project and was the sole
attribution.
Applying Rule 4.201 (“Members shall not make misleading, deceptive, or false statements or claims about their professional qualifications, experience, or performance, and shall
accurately state the scope and nature of their responsibilities
in connection with work for which they are claiming credit”)
and the accompanying commentary (“This rule is meant to
prevent Members from claiming or implying credit for work
which they did not do, misleading others, and denying other
participants in a project their proper share of credit”), the
Council concluded that Respondent A violated the rule by making such misleading and deceptive statements in the initial
announcement.
Regarding Respondent B, prior decisions of the
National Ethics Council have explained that the principals
Homeowner Complaints
Nowhere is the relationship between architect and client closer than in bespoke residential commissions. Another common type of complaint is filed by homeowner clients,
who believe that services provided were in some way inadequate: the scope of the project was unknowingly altered; the overall schedule was hindered; and the project budget
was ignored. Often, homeowners are first-time clients, without a depth of knowledge
necessary for a good client-professional relationship.
H OM EOWN ER COM PL AINTS: CA S E 2 0 0 5 – 1 5
Case 2005–15 involved a homeowner who filed a complaint
against an architect, citing Rules 2.104 and 3.102. The
Complainant, along with his wife, had retained the Respondent architect to design and prepare construction documents
for an addition to their 100-year-old house, which was
located in a historic district. An agreement for architectural
services was prepared and signed, and the Respondent provided architectural services as a sole proprietor.
(continued)
1.1 The AIA Code of Ethics and Professional Conduct
11
PA R T 1 : T H E P R O F E S S I O N
Testimony during the hearing established that the Respondent had encouraged the Complainant to act as his own
general contractor, so as to save construction expense. While
preparation of signed and sealed drawings for
the building permit took five months, the Respondent also
suggested the existing kitchen be demolished at the midpoint
of this period, resulting in the loss of kitchen use for two
years.
The Respondent signed and sealed drawings for the
project on two separate dates, although he did not have a
valid architectural license for more than six months during
the project because of a failure to renew the license. The
Respondent proposed that he provide plumbing construction
services for the project through a separate construction business that he owned, although he was not a licensed plumber.
Finally, the Respondent used the Complainant’s personal
credit card, with permission, to purchase roofing materials
for the project but charged $1,500 for materials used on
another project.
Evidence in the case included a copy of a consent order
with the state architectural licensing board wherein the
Respondent had previously agreed to accept a reprimand,
complete the NCARB Continuing Education Monograph on
“Professional Conduct,” and pay a $250 civil penalty. The
Respondent had also signed a consent agreement with the
state board of plumbing contractors, agreeing not to provide
such services without a license.
The essential facts in this case were not in dispute. The
Respondent performed various architectural services for the
project while he did not have a valid architectural license,
including signing and sealing drawings for the project. The
Complainant had a right to expect that the architect he
retained was licensed and would maintain a current license
throughout the duration of the project. The lapse in the
Respondent’s architectural license created a high degree of
risk that the Complainant would be adversely affected. For
example, approval of submittals to a building department
that required an architect’s seal might be denied or substantially delayed. Therefore the Council concluded that the
Respondent’s failure to renew his license was in wanton
disregard of the Complainant’s rights and that the Respondent violated Rule 2.104 (“Members should uphold the law
in the conduct of their professional activities”). The Respondent’s execution of a consent order with the state architectural licensing board was an admission of fault to that state’s
relevant governing body and sufficient proof of an ethical
violation.
The Council next considered Rule 3.102 (“Members
shall undertake to perform professional services only when
they, together with those whom they may engage as consultants, are qualified by education, training, or experience in
the specific technical areas involved”) and its commentary
(“This rule is meant to ensure that Members not undertake
projects that are beyond their professional capacity. Members venturing into areas that require expertise they do not
possess may obtain that expertise by additional education,
training, or through the retention of consultants with the necessary expertise”).
The Respondent’s plumbing construction was also carried
out without the required state license. His execution of a consent agreement with the state board of plumbing contractors
is admission of fault with that body. The Complainant alleged
that the Respondent violated Rule 3.102 due to his lack of
valid licenses, as Members must be “qualified by education,
training, or experience” to perform the services they provide.
The evidence, however, did not prove that the Respondent
lacked either education, training, or experience as an architect or plumber. What the Respondent lacked was a valid
plumbing license, which was not covered under Rule 3.102.
Hence, the Council concluded that the Complainant had not
established a violation of this particular rule. Having found a
violation, albeit of Rule 2.104 only, the Council determined
that this particular ethical lapse was sufficiently serious to
warrant a penalty of a three-year suspension of membership.
C ON C LU S I O N
Architects strive to provide exemplary service, while adding beauty and functionality to
the built environment. Within and without, each commission brings untold decisions
predicated on ethical practice, balancing the competing interests of clients, the public
at large, our profession and colleagues, and of the earth itself. The AIA’s Code of Ethics
and Professional Conduct is that essential document by which all such decisions are
benchmarked.
Fo r M or e In for m a t i on
AIA Code of Ethics and Bylaws website: http://www.aia.org/about/ethicsandbylaws/
index.htm.
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Ethics and Professional Practice
1.2
Ethics and Architectural Practice
PA R T 1 : T H E P R O F E S S I O N
Thomas Fisher, Assoc. AIA
Understanding ethics helps architects deal with the dilemmas faced in the course
of practice as well as those that arise in the design and construction of the built
environment. This article discusses four ways of considering the ethical issues of
practice and offers three case study vignettes with analysis.
FOUR WAYS TO TH IN K ABOU T E TH IC S
Architecture practitioners continually encounter questions such as: what is the right
thing to do in a conflicted situation, and how to decide among the divergent values or
opinions of people? Ethics helps architects find answers in such questions. While ethics, like any branch of knowledge, has a long and complex history, this essay explores
four of the main approaches to thinking about the topic:
•
•
•
•
Character-based ethics (Virtue)
Contract-based ethics (Social Contract)
Duty-based ethics (Deontology)
Results-based ethics (Consequentialism)
Character-Based Ethics
Dating back to ancient Greece, this approach to ethics encourages people to focus on
the development of a good character or what the ancient Greeks called “virtue.” Virtues
such as justice, courage, prudence, and temperance all stress the importance of a person
acquiring a sense of balance, persistence, and moderation, which philosophers such as
Aristotle thought of as key to living a good life.
Such virtues also lie at the heart of professional practice. Exhibiting fairness when
dealing with others, having courage to do the right thing in the face of opposition,
using good judgment when encountering new information, and displaying self-control
in the midst of multiple pressures can all help architects successfully serve their clients,
retain their staffs, and remain well regarded among their colleagues and coworkers.
The medieval period saw a shift toward more empathic virtues such as faith, hope,
charity, and love. These, too, have direct applications to architecture practice, whether
it means having faith in oneself and one’s talent in competitive situations, giving people
hope that they can have a better physical environment, showing charity toward the
aspirations of clients or needs of users, or loving the act of designing itself.
Modern virtues like honesty, respect, tolerance, and trust also underpin the effective operation of commercial society. Following through on what one promised, recognizing the value that comes from a diversity of perspectives, accommodating
viewpoints or ideas different from one’s own, and having confidence that others will
also do what they have committed to all enable a practice, a profession, and a community to operate effectively.
Contract-Based Ethics
If the virtues involve the development of a good character, a contractual approach to
ethics focuses more on the creation of a good society. Under a “social contract,” morality consists of a set of rules governing behavior, which rational people would accept on
Thomas Fisher is the dean of the College of Design at the University of Minnesota in the Twin
Cities and a professor in its School of Architecture.
1.2 Ethics and Architectural Practice
13
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the condition that others accept it as well. People tend to follow the rules because, on
the whole, they are to their advantage, while breaking the rules undermines that useful
system. Differing historic views of what constitutes a good life and a good social contract derive from two diametrically opposed ideas about the earliest human settlements.
The seventeenth-century philosopher Thomas Hobbes saw human nature as somewhat wild and early human life as “nasty, brutish, and short,” and argued that people
should give up some of their personal freedom in exchange for the authority of a strong
government able to keep the peace and enable people to lead longer and happier lives.
In contrast, the eighteenth-century thinker Jean-Jacques Rousseau saw early life in
“the state of nature” as one of blissful harmony and independence, ruined only when
people started to claim property as their own. Rousseau saw the possessiveness surrounding property as a corrupting influence and argued that the best societies enabled
people to live as close as possible to the original state of nature, with the least interference from outside authority.
Modern social-contract philosophers, such as John Rawls, take a more nuanced
view of what a good society comprises. Rawls argued that people should imagine “a veil
of ignorance” behind which they cannot predict their own individual futures or fortunes in life. Using this thought experiment, he said, a good society would distribute
resources so that everyone would benefit fairly and without prejudice.
These different views of the social contract have clear parallels in architecture.
Hobbes foretells the generations of architects who have reacted to urban decay with
new visions of urban order, while Rousseau presages the rise of suburbanization and
the modern desire to live close to nature. Meanwhile Rawls gives justification to laws
such as the Americans with Disabilities Act and strategies such as universal design.
Duty-Based Ethics
All professions have a duty to those whom they serve. In the case of architects, that duty
extends not only to the needs and wishes of clients but also to the present and future
users of buildings as well as to past generations (via preservation), to other species (via
sustainability), and even to underserved populations (via public interest design). What
distinguishes professions from ordinary businesses is the obligation, embedded in professional licensure, of using disinterested judgment to do the right thing, regardless of
the biases of particular interest groups. In duty-based ethics, one’s own actions must be
ethical regardless of the consequences, and the ends do not justify the means.
This approach to ethics is most closely associated with the eighteenth-century
philosopher Immanuel Kant who argued for a set of what he called “categorical imperatives” to guide a person’s decisions when faced with common ethical dilemmas. The
first of these imperatives would have everyone treat others as ends in themselves, and
not as a means to an end. This is a variation of the biblical appeal to “do unto others as
you would have them do unto you.” This imperative helps practitioners remember to
treat clients, users, and society with respect and dignity.
A second categorical imperative entreats people to judge every action as if it were
to become universal. In architecture, this idea relates most closely to attempts by practitioners and scholars to develop architectural theories: principles derived from particular buildings that should apply to all buildings. While some theories may have
universal relevance, most do not: Think of the pretensions of “International Style”
architecture and how ill-suited it was to many cultures and climates.
A possible caveat related to duty-based ethics has to do with the importance of
having good intentions and acting accordingly, regardless of the results. Kant’s dismissal of consequences brings to mind Colin Rowe’s observation that modernism was
an “architecture of good intentions,” whose practitioners seemed too willing to overlook its negative impact. Architecture education, too, has had a strong focus on design
intentions, with relatively little attention paid to design results, as would be learned
from postoccupancy evaluations of buildings.
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Results-Based Ethics
PA R T 1 : T H E P R O F E S S I O N
In part as a reaction to duty-based ethics, results-based ethics—consequentialism—
arose in the nineteenth century, arguing that we determine the goodness of an action
by looking at its consequences. In consequentialism, the ends justify the means. Architecture, of course, has always had functional utility at its core: Buildings have to meet
occupants’ needs, protect people from the elements, and stand up against the forces
pulling or pushing a structure. And buildings make the consequence of ignoring such
things quickly evident: They fail, leak, or fall down.
Utilitarianism, one example of consequentialism, is a theory that values whatever
brings the greatest happiness to the greatest number. For the nineteenth-century
thinker Jeremy Bentham, that involved a simple calculation: Whatever maximized
the most good for the most people was, by definition, the right course of action. But
that quantitative approach also brought problems. Providing everyone the same
minimum shelter would maximize happiness for the greatest number, but would it
result in a good built environment? Bentham’s follower John Stuart Mill argued
instead that qualitative consequences have more value than quantitative ones: that
the quality of the built environment, for example, matters more than the quantity
that each person has.
For pragmatists like William James and John Dewey, what matters is not maximizing happiness, but looking at the results of our actions to discover what works best in
a given situation. James argued that something is good if it is useful and corresponds
to how things actually are. Dewey thought, instead, that experimentation is needed in
order to find the good, repeatedly trying things and learning from the results. A recent
variation of this results-based ethic has a strong environmental component. Philosopher Peter Singer has argued that we cannot limit thinking about consequences to
human beings, but instead need to include all “sentient” beings—all of the animals who,
like us, can feel pleasure or pain. This presents a major challenge to architecture, which
consistently degrades the habitat of other animals in the process of creating habitat for
human beings. Were architects to consider the impact on all sentient beings, buildings
would likely be much more energy conserving, environmentally friendly, and ecologically diverse than most are now.
Summar y
TABLE 1.1 Four Approaches to Ethical Issues in Practice
Being Good
Doing Good
As Individuals
Character-based ethics
Fairness, courage, moderation, good
judgment
Faith, hope, charity, love
Honesty, respect, tolerance, trust
Duty-based ethics
Treat others as ends, not means
Act as if it were to become universal
Act with good intentions, regardless of
consequences
As a Group
Contract-based ethics
The good lies in social harmony and
security
The good comes from living close to
nature
The good comes from helping the least
advantaged
Results-based ethics
Do the greatest good for the greatest
number
Do what seems most useful and true
Maximize benefits to all sentient beings
C A SE ST U DY VIG N ETTES
These four approaches to ethics (see Table 1.1) offer different ways of resolving the
ethical dilemmas faced during the course of practice. The following case studies, all
adapted from real situations, show how ethics can help professionals sort through and
evaluate alternative decisions and actions.
1.2 Ethics and Architectural Practice
15
1. Conflict Between Personal and Employer Values
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An architect worked, during the day, designing big-box stores. During her free time, though,
she volunteered for nonprofit groups helping the poor, some of whom had been displaced by the
same big-box stores she had designed. While big-box stores provide a public good in the sense of
making low-cost products available to more people, such developments sometimes disrupt existing
neighborhoods and environments in ways that can bring harm. This architect considered quitting her job because of its conflict with her values, but she also needed the income and had few
other employment alternatives.
Analysis
In her sense of responsibility for the well-being of people negatively affected by the
work of her employer, this architect exemplifies such virtues as a sense of fairness, an
instinct for charity, and a deep respect for others. However, the decision to stay in her
job or leave it depends upon other virtues, like the courage to act even if it runs counter to her financial best interest or the honesty to tell her employer of her misgivings
even if it means her dismissal.
Situations like this also show how complicated questions of duty can become. This
architect has a duty to her employer, but does that trump her feeling of duty to those
negatively affected by the employer’s buildings? Design as a way of thinking can help when
confronted by such divided loyalties, since it can often find win-win solutions to seemingly
unresolvable dilemmas, whether in a building or in life. As a way to honor duty to the
community and to her employer, this architect might do better staying with the company
and trying to change its practices rather than leaving and relinquishing that possibility.
From a social-contract perspective, the dilemma has to do with a paradox of capitalism. Her employer has an obligation to generate the greatest return to its shareholders and to attract customers to its products and services. But in a case like this, a
company cannot maximize its returns while damaging its reputation in the community
in which it wants to do business. The idea of ensuring that the least fortunate benefit
from every action applies here. If this company put more emphasis on how its actions
affect the community, and worked more on improving community relations and less
on maximizing profit, it would likely make more money. There is a reason why the
terms ethics and economics both have their origin in ancient words having to do with
stewardship and care.
The company could argue that, from a strictly consequentialist perspective, the benefits of a big-box store to a community—directly through its goods and services and
indirectly through its taxes—outweigh the displacement of a much smaller number of
homeowners and the qualitative deficiencies of big-box stores. Making less-expensive
goods available to less-affluent people can improve the quality of their lives economically,
but does that have to come at the expense of the quality of their physical environment?
The architect, in this case, decided to talk to her employer about her volunteer
work and her misgivings about the impact of the company’s big-box stores on lowerincome communities. And to her surprise, her employer asked her to move into a
community-relations position in which she could work with neighborhoods prior to
the development of the company’s urban stores, in order to mitigate their negative
effects. That response showed an understanding within the company that it is often
beneficial to proffer in good as well as in goods.
2. Clash of Ethics and Aesthetics
A client came to an architect wanting his firm to design a building that would put it on the
covers of magazines and get the publicity presumably needed to market the facility. The architect
obliged and created a structure so striking that it achieved the coverage the client wanted, but
at a price. The structure proved so difficult to occupy and unpleasant to be in that the client still
had a hard time attracting tenants, and the design represented such an extreme that it triggered
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Ethics and Professional Practice
a broader conversation in the profession about the absurdity of such work, ultimately leading to
less coverage of the architect’s work thereafter.
Analysis
PA R T 1 : T H E P R O F E S S I O N
From the point of view of duty ethics, this situation seems perfectly justifiable. Architects have an obligation to meet the clients’ needs and help them achieve their goals,
and so, in that sense, the architect here did the right thing as a professional. While
architects also have a duty to the general public and to protect people’s health, safety,
and welfare, that does not preclude the architect from helping a client get as much
publicity as possible for a project, including getting it featured on the covers of magazines. The client, too, conceivably has a duty to get the greatest return on the investment in a building, and getting a lot of press for the project can be an effective way of
doing that, attracting potential tenants without having to do as much marketing.
Other ethical approaches, however, help shed some light on why the project’s reception did not turn out as either the client or architect expected. Consider the character of
the client in this situation. His placing publicity above all else suggested that the building
was as much about his desire for attention as it was about attracting tenants. And the
architect’s accommodation of the client’s immoderate ambitions casts doubts on the character of this design practitioner as well. Architects may have a duty to meet clients’ needs,
but professionals also have a duty to advise clients about potentially unwise actions.
From a social-contract perspective, the self-importance of this project also raises
ethical questions. Buildings represent creative responses to the needs of people, organizations, and communities, but at the same time, architecture also has an obligation
to meet at least some of the expectations of the societies and cultures in which it stands.
Moving too fast and too far away from those expectations can backfire, as happened
here, when the building, having received the press coverage that the client had wanted,
still could not attract tenants.
In terms of functional utility, this project hardly met that measure, either. While its
design obviously held some value for the client and architect, both of whom had the
freedom to largely do what they wanted, the structure lacked even the most basic utility, given the number of people who found it too hard to inhabit. By ignoring certain
important consequences of their actions, in favor of pursuing publicity, both architect
and client undermined their original goal of attracting tenants. In addition, the building’s pragmatic flaws did not end with the structure itself; its sheer extremism cast a
pall over the architect’s career.
3. Difference Between Employer Obligation and Employee Needs
An intern in an office wanted to go through the Intern Development Program (IDP) required
of him in order to sit for his licensing exam. The principal of the firm in which he worked,
however, could not be bothered by the requirements of IDP and did not give his intern the variety of experiences in the office that IDP expected. The intern complained to the national organization that oversees the program, but its representatives told him that there was nothing they
could do to force this architect to participate and, despite the poor economy and few employment
options, they told him that he could always look for work in another firm.
Analysis
Being an architect involves not just the acquiring of the skills required to design and
detail buildings, but also the joining of a community of professionals. Professional
communities are not without their tensions. Architecture firms, for example, often have
to compete against each other for commissions even as they cooperate with each other
on matters affecting the profession as a whole. And, as happens in every community,
practitioners have different levels of involvement in the profession; some get very
engaged and even seek leadership positions in the various professional organizations in
the field, while others pursue their practice and never attend a single meeting or
1.2 Ethics and Architectural Practice
17
PA R T 1 : T H E P R O F E S S I O N
▶ Intern Development Program
(3.2) discusses the IDP in further
detail.
contribute to any committee. Professional obligations range, in other words, from the
mandatory—taking the licensing exam, for instance—to the voluntary, such as joining
the American Institute of Architects.
That personal preference becomes an ethical issue when it affects others, as in the
case here, where an architect did not see his oversight of an employee’s progress
through the Intern Development Program (IDP) as part of his professional obligation.
The IDP arose in the 1970s to address this very problem. Because so many firms in the
past did not attend to the needs of interns for diverse experiences in order to become
well-rounded professionals, the National Council of Architectural Registration Boards
(NCARB) made the IDP a requirement for an intern to sit for the architect registration
examination (ARE). The profession saw this as being in the best interest of the entire
field and, in utilitarian terms, as doing the greatest good for the greatest number of
those who aspire to become architects.
The IDP, however, puts the responsibility on the interns and has little force in requiring practitioners to participate in it. Most practitioners do support interns’ IDP efforts
because it has become an expected part of being an architect in the United States, part
of the “social contract” that an older generation has to the younger generation of professionals. Most architects also see this as part of their duty to their staff and perhaps, selfinterestedly, as a way of attracting and keeping interns who want to become architects
themselves. From almost every ethical position and from the perspective of an employer
as well as an employee, participation in the IDP makes sense. Virtue ethics may shed
some light on that question. A character-based approach to ethics emphasizes personal
responsibility, and while that has many benefits in terms of helping people lead better
lives, it also tends to see a community as a set of autonomous individuals. In cases like
this one, an emphasis on individualism allows practitioners to opt out of their community
responsibilities, with little or no leverage to force them to do otherwise. However, as of
2012, the AIA National Ethics Council has adopted a rule that makes supporting the
professional development of interns an ethical obligation of AIA members.
WH AT’S N E XT FO R E TH I C S A N D P R A C TI C E ?
Architecture has taken an “ethical turn” in recent decades, reflecting a renewed emphasis on ethics in other fields like medicine and law and a reinvigorated interest within
the profession in issues like sustainability and social justice. Ethics has become a
required part of an accredited architecture curriculum and a topic covered with greater
frequency in the profession’s annual meetings and academic conferences.
At the same time, ethics has highlighted areas in which the profession needs to pay
more attention:
• Architects generally have good intentions, but rarely give enough time and attention
to postoccupancy evaluations of the consequences of what they do.
• Architects often seek to create the greatest good for the greatest number, but have
largely overlooked the needs of the world’s poor and the habitat of other creatures.
• Architects frequently respond well to the contexts in which they work, but have a
much worse record when it comes to giving awards to buildings that represent
a-contextual extremism.
The work of architects has such an enormous effect on large numbers of people and
other species that the profession cannot avoid the ethical consequences of its actions.
This will continue to make ethics a relevant issue for architects in the twenty-first
century as the scope of professional activity expands to include responsibility for global
populations and global climate disruption, and to address the resources, systems, and
infrastructures that are all part of the built environment. This ethical turn may even
lead to a redefinition of what it means to be an architect, attending to the health, safety,
and welfare not just of clients and building users but also of other sentient beings,
future generations, and diverse ecosystems, ultimately for the good of all.
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Ethics and Professional Practice
1.3
PA R T 1 : T H E P R O F E S S I O N
F or Mor e I nf o r m ati o n
AIA Code of Ethics and Professional Conduct: www.aia.org/about/ethicsandbylaws.
Ethics for Architects: Fifty Dilemmas of Professional Practice (Princeton Architectural Press,
2010) by Thomas Fisher.
Architecture Design and Ethics: Tools for Survival (The Architectural Press, 2008) by
Thomas Fisher.
The Ethical Architect: The Dilemma of Contemporary Practice (Princeton Architectural
Press, 2001) by Thomas Spector.
Ethics and the Practice of Architecture (Wiley, 2000) by Barry Wasserman, Patrick Sullivan, and Gregory Palermo.
Design Beyond Ethics
Victoria Beach, AIA
As with safe food, many actors contribute to the ethical project of safe shelter:
inspectors, engineers, and more. Rather than compete with them, architects, like
chefs, should seek their niche with aesthetics—not in the narrow sense of beauty
but in the broad sense of understanding and shaping how humans interact with
their surroundings.
I NT ROD U C T I ON : TH E C H EF AR C H ITE C T
We all experience architecture
Expecting an architect to design a safe structure is like expecting a chef to cook a safe
meal: It is at once a high ethical requirement and a very low expectation.
Food and shelter, the raw materials that chefs and architects work with, are absolutely
essential to human survival. Because of this, their quality (or lack thereof) rises to an
ethical concern that society takes seriously, creating a great umbrella involving testing,
codes, inspectors, and the like to protect the public from getting sick or injured. Obviously, anyone involved with things that can save or threaten lives is ethically mandated
to uphold these protections. This mandate forms a foundation for professional ethics.
American architects became subject to professional ethics fairly recently, when they
formed a regulated profession in the twentieth century. A well-defined branch of
applied moral philosophy, professional ethics pertains to all professionals, including
doctors, lawyers, and engineers.
But just as with chefs, the core, defining work of architects—the work that differentiates them from all the other contributors to the safety of the built environment—
goes beyond ethics and into aesthetics. And just as there are many sources for a safe
snack, many kinds of people (and even computers) can make a building firm, but it takes
an architect to make one commodious and delightful.
Currently the legal authority of architects rests with their licensure and their parallel commitment to professional ethics. But what if the raw, primal power of aesthetics
could trump that of ethics? If so, aesthetics may be the key to unlocking the real authority of architects, and therefore of architecture, to shape society.
before we have even heard the
word.
—Peter Zumthor, Architect
Victoria Beach is the 2012 AIA National Ethics Council chair and was faculty fellow at the
Center for Ethics at Harvard, where she taught design, history, theory, and ethics. An AIA
Young Architect Award recipient, Beach is principal of her own practice and city council
member for Carmel, California.
1.3 Design Beyond Ethics
19
AESTH E TIC S
Aesthetics is the mother of ethics.
PA R T 1 : T H E P R O F E S S I O N
Joseph Brodsky, 1987 Nobel
Laureate
“Aesthetics” is not what it used to be: the term has undergone some renovations.
Around the mid-nineteenth century, the word became most closely associated with
ideas of beauty or taste. But this recent definition constitutes a detour away from its
more enduring and ancient foundations in basic notions of perception—with etymological connotations of sensing as well as understanding:
Greek: aesthethikos—pertaining to sense perception, from aistheta, perceptible things,
from aisthenasthai / aesthesis, to perceive. Latin: percipere, to seize wholly, to see all the
way through; per, thoroughly + capere, to seize.
The philosopher Immanuel Kant saw the detour coming and railed against a corruption of this word that would rob our language of a useful conceptual tool:
At the foundation of this term lies the disappointed hope…of subjecting the criticism of
the beautiful to principles of reason, and so of elevating its rules into a science…. It is
advisable to give up the use of the term as designating the critique of taste, and to apply
it solely to that doctrine, which is true science—the science of the laws of sensibility—
and thus come nearer to the language and the sense of the ancients.
The trendy definition may have had its run, but the concept of “sensory knowledge” is
too helpful to architecture’s current predicament to keep it buried. It’s time to reconnect the modern definition to the timeless one.
Under its timeless definition, aesthetics is a most capacious term—encompassing
the perception of all material things by all living senses: the earthy warmth of fresh
milk and the repulsive acridness when it spoils. An aesthetic experience, then, is simply
a perceptible one, just as a medical anesthetic renders us unable to perceive. To study
or to master such a fundamentally human kind of knowledge is to connect to the
essence of life in a way that ethics never can.
Nobel Laureate in Literature Joseph Brodsky remarks, “The tender babe who cries
and rejects the stranger…does so instinctively, making an aesthetic choice, not a moral
one.” In other words, aesthetic knowledge comes first, long before moral knowledge.
An aesthetic instinct develops in man rather rapidly, for, even without fully realizing who
he is and what he actually requires, a person instinctively knows what he doesn’t like and
what doesn’t suit him. In an anthropological respect, let me reiterate, a human being is
an aesthetic creature before he is an ethical one.
Aesthetics describes the first contact with reality, whether at the beginning of each
day or at the beginning of life itself. Morality, in contrast, evolves as part of the culture
utilizing it.
ETH IC S AN D MO R A LI TY
Under their largely uncontested definitions, ethics and morality are fairly circumscribed
terms—dealing with the shared values and duties developed by and describing a particular group of people, and etymologically connoting customs, manners, or habits:
Latin: ethicus, Greek: ethikos—ethos, character; (pl.) manners.
Latin: moralis, concerned with ethics, moral; mor-, mos, custom; (pl.) mores, habits,
morals. Classical Latin moralis was formed by Cicero (De Fato ii. i) as a rendering of
ancient Greek ethikos (mores being the accepted Latin equivalent of ethe).
Whether a person’s action is right or wrong, therefore, highly depends on what the
ethos of that person’s group requires. For example, it would be quite wrong for members of a local street gang to try to cut a person open with sharp knives, unless, of
course, those same folks were the nurses and doctors on a surgical team. The societal
group called doctors is defined by its devotion to medical ethics and the ethical goal of
health; the street gang has other goals.
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Ethics and Professional Practice
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Doctors, as we know, form a self-selected subset of a larger group called professionals. People who devote themselves to professional ethical duties (shorthand: “pro” ethics) are, by definition, professionals. But professionals are also a self-selected subcategory
of a larger social group of ordinary citizens with their own set of ordinary ethics (shorthand: “joe” ethics), things like being honest, kind, or fair. Even membership in this
subgroup is elective, though. Folks who eschew these neighborly values, sticking to the
bare legal minimums for behavior (shorthand: “schmoe” ethics) belong to an even
larger group best defined, perhaps, as the unimprisoned.
With all this talk of ethical options, it is interesting to note that deciding between
being a pro, joe, or schmoe, or a member of any other identifying group actually requires
an aesthetic choice. People choose to pursue the kind of life that appeals to them, the
one that follows their aesthetic vision for themselves; nobody must grow up to be a doctor, after all. Only once that meta-choice is made must future ethical choices follow the
value system of the group in order to ensure that the life pursued will actually be led.
“Aesthetics is the mother of ethics,” according to Brodsky, which of course makes
ethics the offspring of aesthetics. Aesthetics deals with physical truths while ethics deals
with social constructs dependent upon them. Sense follows sensibility. As architect
Peter Zumthor states, “We all experience architecture before we have even heard the
word.” If so, then aesthetics provides the foundation to ethics, not the reverse.
P ROFE S SI ON AL ETH IC S
Though professional ethics may not fully describe the ultimate aesthetic obligations of
architects, it’s worth sorting through the complex web of obligations it does describe.
All licensed professions share at least four common characteristics. They apply (i) technical knowledge, nurtured by (ii) collegial organizations, to advance (iii) ethical public
values, through (iv) client service. Each one of these four brings with it its own universe
of moral duties to perform or moral virtues to cultivate.
An ethical public value (iii) provides the primary defining justification for establishing a regulated profession. This goal, such as safety for engineers, health for doctors,
or justice for lawyers must be so crucial to humanity’s survival that it rises to the high
level of an ethical value. And it follows that the highest ethical priority professionals
have is to serve the public, above serving their discipline, colleagues, or even clients.
The sociologist Talcott Parsons put it well in discussing lawyers:
[Their] function in relation to clients is by no means only to “give them what they want”
but often to resist their pressures and get them to realize…what the law will permit
them to do. In this sense, then, the lawyer stands as a kind of buffer between the illegitimate desires of clients and the social interest. Here he “represents” the law rather
than the client.
And the public is not limited to the paying public. Medicine and law, in fact, require
pro bono services to those who cannot pay, because to deny someone access to a hospital or a fair trial would be to deny someone a fundamental human right. Obviously,
it requires the exercise of certain human virtues to maintain this principled stance:
philanthropism, humanitas, Samaritanism, and transcendency, to name a few.
Client service (iv) is one of the four cornerstones of a profession because professionals achieve their general moral goals iteratively and incrementally, through many
specific client cases. Theirs is an applied science: neither basic laboratory research nor
overarching political policy. This endows the relationship between professionals and
clients with the utmost societal importance and with crucial ethical dimensions. Furthermore, due to the imbalance of technical knowledge in the relationship, the situation is ripe for exploitation and must be counterbalanced. Professionals, therefore,
must cherish this special relationship and must always prefer their clients’ interests
above their own. In doing so, they may call on such moral virtues as selflessness, trustworthiness, fidelity, and discretion.
1.3 Design Beyond Ethics
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It may seem strange to have ethical obligations toward a nonhuman abstraction. But
professionals must respect technical knowledge (i) just as they might look after an
important tool, like a sharp knife. If the tools do not perform, neither can the professionals using them perform their obligatory societal role. In fact, states cede power to
professions to self-govern because neither the state nor any other entity is more expert
than the professionals themselves to evaluate their own standards. So, a profession that
does not maintain high technical standards can simply decline until it disappears or until
it becomes regulated by outsiders, as occurred with accountants in the wake of the
Enron scandals. In a rapidly evolving global culture, everyone must continually expand
the boundaries of their knowledge even to stay current—a minimum standard for professionals. Just to stay ahead of lay knowledge can, therefore, be a Herculean task,
requiring access to virtues such as inquisitiveness, disinterestedness, rigor, and diligence.
Stranger still, perhaps, are ethical obligations toward the self, which may initially
appear selfish, a decidedly unvirtuous quality. But if the ethical goals of a profession
are to thrive, so must the profession itself. A profession is therefore ethically obliged
to ensure its own survival. In a strong collegial organization (ii), each member contributes to the unified voice of the profession’s ethos and must be respected and nurtured.
This is especially true for those who are most vulnerable: the aspiring professionals
who quite literally represent the future of any profession. This self-referential focus
performs another important function in upholding professional ethics. For example,
the unanimity with which doctors in California adhered to their own ethical code led
to the indefinite postponement, in 2006, of the practice of lethal injection. If a single
doctor had broken this collegial bond, the profession would have remained ineffectual
on this matter. To come together, sometimes against corrosive exterior forces, may
involve ethical virtues such as empathy, nurturing, kinship, and protectiveness.
ETH IC S OF A E S TH E TI C S
Though complicated and with competing duties that often seem impossible to balance,
professional ethics is not particularly controversial; there is widespread agreement on
the specifics of its four cornerstones and on the general notion that professions entail
ethics in the first place. In contrast, there is very little agreement on the general question of whether aesthetics entails ethics or on the specifics of how that might work.
And since architecture derives its identity through the artistic treatment of the
medium of shelter, it is worth exploring whether this component of the work involves
ethics. Over the millennia, many philosophers have investigated the moral purpose of art
in search of an ethical justification for all the aesthetic activities (visual, musical, culinary)
that humans just cannot seem to resist. Here is a brief sampling of the mixed results.
Human beings require an expressive outlet, goes one argument. As sports provide
physical release for our animal energies, without the emotive outlet of the arts, our
species descends into instability. This theory seeks moral authority for the arts based
on its role in maintaining a civilized society, but many, including Plato himself, take
issue with whether self-indulgent expression rechannels or actually cultivates depravity.
Many argue that art’s moral purpose is to edify. Art improves us, they claim, makes
us more morally virtuous—often through the empathy we feel with artists or their
subjects. But counterclaims point out that interpretations of artistic works vary uncontrollably from person to person. In fact, lessons that are intentionally planned and
obvious to anyone verge on the pedantic or the doctrinaire—hardly the province of art.
The Mithraditic approach to art’s moral purpose may be among the most creative.
King Mithradates VI ruled Pontus (modern-day Turkey) in the first century bc and
took small doses of poison starting in childhood so that he could not be secretly poisoned by his enemies. Art, by analogy, provides life experience by proxy—protecting
us, in small, harmless doses, from the otherwise overwhelming dimensions of life. This
might provide a moral justification for art, though it does not take into account life’s
unusual twists and turns. In fact, the king’s plan hit a major snag when, under threat of
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capture by Rome, he could not commit suicide by the usual, more gentle means of
poison and had to command his servant to stab him to death.
Problems seem inherent to every known attempt to justify art in moral terms. Some
maintain, therefore, that it is the very resistance to, or transcendence of, morality that
defines the artistic endeavor. In other words, they see art as a meta-ethical thing:
beyond or outside ethical consideration, ethically inert like a potato or a pebble.
This would imply that art can be neither moral nor immoral. It can neither uphold
nor subvert any particular morality. Under this theory art is amoral: simply nonmoral.
This is the theory that Henry Cobb, the world-renowned architect and regrettably
less-renowned ethicist, espoused in a 1995 essay:
How do principles of human duty relate or apply to works of art? We can go a long way
toward answering this question by referring to an aphorism of the poet-philosopher
Paul Valéry, who wrote: “We recognize a work of art by the fact that no idea it inspires
in us, no mode of behavior it suggests we adopt, could exhaust or dispose of it.” This
statement seems to me precisely correct. And though its eloquence be sacrificed, I think
its meaning is not lost when we rephrase it as follows: a work of art always transcends
those principles of human duty which it may embody or to which it refer. Thus the work
of art is alone among human productions in being privileged, indeed obligated, to escape
the rule of human duty. Hence we can say that the only absolute duty imposed on a work
of art is that of being undutiful.
The duty to have no duty, though a contradiction of logic, is an evocative description of the amorality of art and could certainly apply to the aesthetic aspect of what
architects do.
E T HI CS OF ARC H ITEC TURAL AE S TH E TI C S
Though most moral philosophers investigate aesthetics through the general category of the fine arts, occasionally someone tackles the particular aesthetic case of
architecture head-on. In a 2000 essay, philosopher and planner Nigel Taylor explores
a few possibilities for understanding the aesthetic content of buildings through
ethical means. He takes on three familiar historical arguments that ascribed moral
imperatives to design choices: arguments for “honesty,” for a certain superior style,
and for following the “spirit of the age.” He finds each one lacking ethical force.
Modernists and Gothicists alike argued for aesthetic honesty, for revealing structure, for being true to materials, and so on. But Taylor finds that this theory’s own
proponents espoused so many exceptions to their ethos that it falls apart into incoherence. Moreover, he points out, sometimes we prefer the aesthetic deceit, the elaborate
ceiling shape that accommodates the old ductwork, such that ethical honesty would
actually be the lesser choice.
Proponents of architectural styles often assert their moral superiority. For the
Gothicists, the argument was both religious and moral, an ethical responsibility to
mimic the glory of Nature. The evocation of Mother Nature was meant to add finality
to the discussion. Taylor sees, however, that even the original choice to elevate nature
is actually not a moral one as claimed but an aesthetic one, a fact that he says becomes
clear as soon as anyone forms a similar attraction to a straight line or right angle.
The spirit of the age or Zeitgeist argument, favored by Modernists, disintegrates
as well, according to Taylor. He questions the premise that we can ever successfully
identify a distinctive technology or culture that characterizes a particular historical
period. Then he questions the conclusion that we should necessarily design to express
that distinctive technology or culture should we find it. If, for example, in our rapidly
changing multicultural world, Nazi culture were somehow to become completely pervasive, it should obviously be resisted, he explains.
Taylor thus obliterates many of the best architects’ attempts to bring ethics into
their aesthetic choices. He also points out that buildings themselves are ultimately
amoral, ethically inert artifacts, and that only people can be said to be moral or immoral.
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We may find, for example, that an ancient Greek temple seems morally depraved if we
discover that it hosted human sacrifice, but that would be misdirecting the blame from
the people to the place, and probably would not prevent us from finding it aesthetically
excellent anyway.
AESTH E TIC ATTE N TI V E N E S S
Though buildings may not embody the ethical principles of their creators or occupants,
Taylor concludes that we can still detect something significant in these built artifacts:
thoughtful design work, or what he calls “aesthetic attentiveness.” He asks us to
Imagine a building, which we find aesthetically displeasing, and where this displeasure
arises in large part because all kinds of features and details in the building appear to have
been thrown together carelessly, without any thought or sensitivity. Imagine, too, that
part of our displeasure arises because the building as a whole appears as if it has just been
“plonked” down on its site without any apparent consideration of how it fits on the site
or relates to its surroundings. Such a building might literally offend us aesthetically, but,
more than that, part of our offence might be ethical. Thus we might reasonably be
angered or outraged, not just by the look of the thing, but also by the visible evidence
that the person who designed it didn’t show sufficient care about the aesthetic impact of
his building. And this moral objection would be supported by the fact that buildings,
unlike (say) paintings or books, are things we are compelled to look at, for architecture
(unlike painting and literature) is necessarily a public art. Consequently, any lack of care
given to the design of a building is also, in effect, a lack of care shown to the public.
Architecture serves, then, as a fossil of sorts, preserving in stone, wood, and steel, if
not ethics generally, at least a work ethic. The designer’s work ethic, Taylor implies,
must take into account how the dimensions of architecture cut across so many scales
of aesthetic human experience: affecting our individual senses at the personal scale of
the detail as well as our social senses at the public scale of the city.
John Ruskin also seems to have wished that design at least demonstrate some
effort:
[T]here is not a building that I know of, lately raised, wherein it is not sufficiently evident that neither the architect nor builder has done his best.… Ours has constantly the
look of money’s worth, of a stopping short wherever and whenever we can, of a lazy
compliance with low conditions….
And so does Peter Zumthor offer a similar complaint about how little is required of his
design efforts and a belief that he must transcend those low demands:
Our clients are of the opinion that the careful way in which we treat our materials, the
way we develop the joints and transitions from one element of the building to the other,
and the precision of detail to which we aspire are all too elaborate. They want us to use
more common components and constructions, they do not want us to make such high
demands on the craftsmen and technicians who are collaborating with us: they want us
to build more cheaply…. When I think of the air of quality that the building could
eventually emanate on its appointed site in five years or five decades, when I consider
that to the people who will encounter it, the only thing that will count is what they see,
that which was finally constructed, I do not find it so hard to put up a resistance to our
clients’ wishes.
Moreover, according to Leon Batista Alberti, when architects put aesthetics
first, it ensures the longevity and influence of their structures long after the
designing is done:
Thus I might be so bold as to state: No other means is as effective in protecting a work
from damage and human injury as is dignity and grace of form. All care, all diligence, all
financial consideration must be directed to ensuring that what is built is useful, commodious, yes—but also embellished and wholly graceful, so that anyone seeing it would
not feel that the expense might have been invested better elsewhere.
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Ethics and Professional Practice
Yet all these pleas for aesthetic excellence in the art of architecture in no way
diminish ethical responsibilities to the underlying science of safe shelter. Confusing the
two, however, has presented obstacles to the practice of architecture.
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A RT V S . SC I EN C E IN ARC H ITEC TU RE
Good building involves engineering and therefore relies on the science of physics, just
as law relies on logic and medicine relies on biology. But the art of building, like the
art of cuisine, brings so much more to the table than science that it is not quite parallel
to those engineering, legal, and medical counterparts. Since modern professions are
scientifically based, the professionalization of architecture does not fully encompass or
describe the practice of architecture.
Not so long ago, many of the finest minds in architecture made this argument in
an attempt to actually prevent architecture from becoming a regulated profession.
During the late nineteenth century, a group of prominent British architects led by
Richard Norman Shaw fought desperately against professional regulation, predicting
that it would “kill” architecture. They observed that because the science of shelter is
different from the art of architecture, the former can therefore be regulated and the
latter cannot.
The Brits never disputed that the scientific aspects of building (sanitation, safety,
durability) could be professionalized, because those things can be taught, tested, and
objectively evaluated. They believed that building inspectors, engineers, and codes
(increasingly, we can include software) do and should take charge of these technical issues.
But regulation of architecture as a whole, they claimed, would imply that its subjective, artistic aspects are as objective as its scientific aspects. Licensure would confuse
and deceive an unwitting public, a lay public, into equating licensed “architects” with
legitimate architects. The result, they predicted, would be an inadvertent degradation
of the built environment.
In the hundred years that followed, of course, the opposite view seems to have
prevailed. At its founding in 1857, the American Institute of Architects, just like their
British colleagues, did recognize and promote a distinct field they called “architectural
science.” Moreover, the language of state regulations falls (as it must) squarely in the
sciences, relying on the “health, safety, and welfare” justification for protecting monopoly privileges to practice. However, when their campaign for professional regulation
began, somehow that important semantic clarification got lost, and it is “architecture”
generally, rather than “architectural science” specifically, that states now regulate. The
first American state to regulate architecture was Illinois in 1897; the last states were
quite recent—Vermont and Wyoming in 1951—well within the lifetimes of many current practitioners.
This long-fought regulatory victory has coincided with some mixed trends. The
science of building has advanced. Net zero-energy facilities, the Burj Dubai, and better
protection than ever from natural disasters testify to remarkable innovations. Yet the
art of building has retreated, in the sense that since architectural regulation the built
environment has not seen a corresponding aesthetic improvement—quite the contrary,
perhaps. The fact that clients are hiring “architects” and not always getting architecture
out of them could indeed, as the Brits predicted, point to some confusion about what
architects add to a project beyond safe construction.
C ONCL USI ON : TH E C H EF ARCH ITE C T
In contrast, there does not seem to be much confusion about the role of chefs in society.
Nobody chooses a restaurant, or even just a recipe, based on whether the meal will be
safe. Fortunately, in modern societies, science and ethics make food safety virtually a
given. This allows chefs to move beyond the science, beyond the merely ethical and the
merely edible, and on to the aesthetically engaging.
1.3 Design Beyond Ethics
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Similarly, no chef would try to attract diners by drawing attention to the safety of
their meals. Even though the issue is crucial—life and death—to dwell on it is to highlight the danger and not the joy: to court business with fear rather than with aromas
from the kitchen. Scaring customers about the hazards of cuisine also runs the risk of
scaring off customers altogether, sending them scrambling for their own kitchens and
backyard vegetable gardens.
A fear-based approach also runs the risk of perpetuating a lie about what chefs do.
If diners thought that all chefs do is help prevent food poisoning, why would customers
value or pay for their other talents? While government regulators have an ethical obligation to make sure that chefs produce cuisine as safe as a Twinkie, if chefs had to
deliver cuisine for the same price as a Twinkie, they just might start to feel overworked
and undervalued. And legally forcing the public into hiring a chef, when all they need
is a factory-sealed pastry, is surely a recipe for dissatisfaction.
However, with safety issues ethically handled back in the pantry, chefs are liberated
to unleash their creativity out in the kitchen. They celebrate the aesthetic essence of
what they do, the exploration of all the senses that are involved with eating. At their
best, they study and understand what we humans can perceive with our taste buds, and
they use that knowledge to help us experience an enhanced existence, so that when we
sit down at the table, the food that we need to sustain our bodies does that plus much
more: It helps us live our lives better than we knew we could.
As with safe food, there are many actors that contribute to the ethical project of
building safe shelter: building officials, licensing agencies, examiners, materials testers,
engineers, contractors, lawyers, and the like. Rather than argue that architects have
something unusually valuable to contribute in this arena, architects, like chefs, should
seek their niche with aesthetics—in the timeless sense not merely of beauty but also of
profoundly understanding how humans interact with their surroundings. Ironically it
is in this completely ungovernable, amoral arena of pure design, where nobody else is
legally kept out, that they should find almost no competition for what they do best.
Aesthetics is the value architects add, better than anyone else, to safe shelter.
If architects could just channel their inner chefs, they could better celebrate and
promote the essence of their work: going beyond just the science of shelter to the art
of inhabitation. Where ethics is transactional, aesthetics is sensory; and where ethics
involves obligation, aesthetics involves instinct. Architecture, therefore, as the mother
art, with a scale larger than most any other art, has the raw, instinctual power to move
people, to direct culture and society more than any moral code ever could—to inspire
rather than regulate us toward lives better lived. Architects need only honestly and
unabashedly embrace design and devote their efforts to aesthetic attentiveness to
assume their natural authority.
Fo r M or e In for m a t i on
On the Art of Building in Ten Books (MIT Press, 1988) by Leon Batista Alberti, trans. by
Joseph Rykwert, Neil Leach, and Robert Tavernor.
Nobel Prize in Literature acceptance lecture (December 8, 1987) by Joseph Brodsky.
“Ethics and Architecture,” GSD News (Harvard University, Fall 1995) by Henry Cobb.
Architecture: A Profession or an Art (John Murray Press, 1892), ed. by R. Norman Shaw
and T. G. Jackson.
“Ethical Arguments about the Aesthetics of Architecture” by Nigel Taylor, in Ethics and
the Built Environment (Routledge, 2000), ed. by Warwick Fox.
Thinking Architecture (Lars Müller Publishers, 1998) by Peter Zumthor.
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C H A P T E R
2
Diversity and
Demographics
2.1
Diversity and Practice Management
Craig D. VanDevere, AIA, NOMA
In the twenty-first century, everyone from firm leaders on down must learn to
understand, as a fundamental principle, how the cultures, traits, values, and
experiences of a diverse workforce can contribute toward maintaining a
successful business and a competitive edge.
T HE BEN EF I T S OF DIVERSITY AN D IN C LU S I O N
Historically, the architecture profession has engendered a great deal of respect from
the general public. In large part, this is due to the role of architects as creative thinkers
and thought leaders. However, the profession’s lack of ability to develop a workforce
that is reflective of the general population in the United States has the potential to
create a significant drag on the image of the profession and its ability to lead in the
twenty-first century.
It is important to remember that the demographics of the United States are changing quickly. In 2012, the number of nonwhite births outnumbered white births for the
first time in the United States. It is predicted that by 2050, the majority of U.S. citizens
will be nonwhite. Businesses, including architecture, have become more global, meaning interactions with people from other cultures are now commonplace. With the
advent of Building Information Modeling (BIM) and integrated delivery systems,
design and construction is becoming more of a collaborative process. As a business
Ultimately, America’s answer to the
intolerant man is diversity, the very
diversity which our heritage of religious freedom has inspired.
—Robert F. Kennedy
Craig VanDevere is an architect with more than 35 years of experience. He founded his
architecture practice, VanDevere & Associates Inc., in 2002.
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strategy, having a diverse workforce and mastering the ability to work with many different kinds of people will become essential. In order to succeed, the profession and
how architecture is practiced must become more flexible, scalable, relevant, and business savvy.
Definitions in Practice
▶ See the backgrounder
accompanying this article,
Forging a Diverse Culture: The
Shepley Bulfinch Experience, for
a case study of a firm that
transformed its homogeneous,
hierarchical environment to one
of diversity and collaboration.
• Diversity: A commitment to recognize, encourage, and appreciate a variety of characteristics, including but not limited to race, ethnicity, gender, national origin, religion, physical ability, age, sexual orientation, and economic background.
• Inclusion: The intentional act of being open, reaching out, removing barriers, and
creating an environment in which all members of an organization can achieve their
fullest potential.
• Business case: Benefits to a business entity—in this case, an architecture firm—to be
gained by initiating and accomplishing diversity and inclusion in its workforce.
• Culture: The values and practices of a society or a group of people who interact
together over time. Cultural values are used to synthesize, interpret, and experience
the various events of daily life and can be defined as a shared basis for social interaction. This helps formulate worldviews as well as the perception of wrong from right.
Varied worldviews and cultural perspectives can bring richness and creativity to an
organization’s culture.
Increase Employee Engagement
Diversity fosters creativity. We need
to generate the best ideas from our
people in all levels of the company
and incorporate them into our business practices.
—Frédéric Rozé, chief executive
officer, L’Oréal USA
It is widely known that when companies embrace diversity and inclusion in their firms,
employees feel energized. They are encouraged to believe in themselves and that what
they bring to the firm is valued. Firms benefit through better client relations, higher
productivity, and more informed design.
Employees who are empowered and have a sense of their value to the firm will be
more willing to take risks, likely resulting in enhanced creativity, leadership, and innovation. A diverse employee base provides for a large pool of ideas reflecting different
views and values.
Increase Creativity
Architectural design has its roots in asking questions in order to identify and provide a
solution to meet the particular needs of clients and users. However, this process is really
only as good as a firm’s aggregate ability to ask provocative questions and synthesize
information. Employees from varied backgrounds and experiences help improve a
firm’s ability to respond to clients’ needs with creativity and sensitivity. Diversity can
bring a variety of ideas and viewpoints to an organization and be especially important
when creative problem solving is required.
Match Demographics of Clients
The lack of diversity may affect a firm’s ability to appear fully capable to meet the
needs of increasingly diverse clients. Institutional, governmental, and nonprofit clients are likely to be represented by a very diverse group of people. Architecture firms
can look at diversity and inclusion as an opportunity to increase client service.
Increased diversity leads to a boost in ideas, the ability to understand a variety of
customer segments, and the ability to expand locally, nationally, and internationally
with greater ease.
Facilitate Global Practice
In a global market clients look at firms whose leadership reflects their own staff and
clients. Firms that demonstrate a multicultural environment to global clients are likely
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Diversity and Demographics
MAK ING DIFFEREN CES M ATTE R
According to an article by David Thomas and Robin Ely,
“Making Differences Matter: A New Paradigm for
Managing Diversity” (Harvard Business Review, 1998),
the benefits of diversity to any business depend on its
organizational culture and management approach.
T RADIT I ONA L A PPR OA C H E S
Best ethical practices, as defined by the AIA, require
fairness in hiring and promotion. Clearly, it is beneficial to
a firm to be perceived as responsible and unbiased. The
AIA Code of Ethics and Professional Conduct states, in
Rule 1.401, “Members shall not discriminate in their
professional activities on the basis of race, religion,
gender, national origin, age, disability, or sexual
orientation.”
Thomas and Ely name this the Discrimination and
Fairness paradigm of workforce diversity. The emphasis is
on quantity, counting employment statistics as evidence of
equitable practices. While this may serve to increase the
number of minorities and women employed, it minimizes
the creative possibilities diversity can bring.
On the other side of the coin is the conventional
business case for diversity—accessing new markets. This
paradigm, called Access and Legitimacy by the
researchers, emphasizes minority group identity as a
business strategy. Organizations regularly hire minority
employees in the hope of gaining increased access to new
segments of the market, accompanied by expanded
expertise and profitability. While this may be an effective
strategy at times, the minority employees often feel
pigeonholed at best and at worst, exploited.
A NEW MODEL
Thomas and Ely suggest the benefits of diversity to a
business can be much greater than ethical practice or
market access. These benefits include increased creativity,
organizational flexibility, capacity to see issues from many
perspectives, and ability to deal successfully with the
challenges of change. Organizations that benefit most
from a diverse workforce exhibit management structures
that are egalitarian, fostering staff empowerment,
continuous learning, and openness to different points of
view. Egalitarian management is especially critical in
architecture firms, where the main asset is an innovative
staff, and the main objective of management is to increase
both productivity and creativity.
Because architecture firms depend on the innovation
and expertise of their professional staff, flexibility and
empowerment prove to be critical factors in increasing
productivity. Not surprisingly, flexibility and empowerment
are qualities that also promote diversity and the creative
potential it brings. This means productivity and diversity go
hand in hand within practice management structures
capable of encouraging both.
According to research by Thomas and Ely, these
management practices are inseparable from the culture set
in place by the organization’s leaders. In order for a diverse
workforce to flourish, the leadership must truly welcome
differing perspectives and alternative points of view.
to gain the trust of international clients more quickly. Just as sustainability can become
central to a firm’s socially responsible activities, diversity and inclusion initiatives can
become a meaningful aspect of its business strategy.
Competitive Advantage in Recruiting
A diverse and inclusive workforce and culture can provide a competitive advantage
to a firm in recruiting and retention. With the looming retirement of the Baby
Boom generation and the relative small size of the Generation X workforce, the
percentage of staff that come from the Millennial generation is expected to increase
significantly in the coming decades. Attracting and retaining talented, capable, and
tech-savvy Millennials to a firm will become increasingly important to its competitive position, regardless of its size. The Millennials are the most diverse generation in U.S. history and, as a group, reportedly value multiple perspectives and
broad tolerance for differences. Firms that value and foster a culture of diversity
and inclusion are most likely to attract these talented younger workers. Firms that
don’t are not likely to keep up in a competitive and ever-changing global
marketplace.
2.1 Diversity and Practice Management
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By R en a M . Klein , FAIA
TH E B EL L C URVE OF INCL USIO N
Number of people
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In any organization there will be what could be called a
“range of acceptable behavior” (Figure 2.1).
Acceptable behavior/appearance
considered to be acceptable behavior and appearance.
People who look and act differently may also think
differently. If they are welcomed and encouraged, they will
bring new ideas and creative perspectives to an
organization. For architecture firms, this capacity is critical
(Figure 2.2).
Number of people
By R en a M . Klein , FAIA
Narrow range of what is acceptable can
lead to narrow perspectives
Acceptable behavior/appearance
Rena M. Klein, FAIA
Wide range of what is acceptable
encourages diversity of thought
FIGURE 2.1 A Narrow Range of What Is Acceptable Can
Lead to Narrow Perspectives.
The shaded band represents the range of normal
appearance and behavior styles exhibited by the majority
of people in an organization. This implicit and established
culture is created by the organization’s leadership and
may be heavily influenced by firm legacy and the culture
of an industry, as is the case with architecture. With or
without awareness, most firm leaders will perpetuate the
narrowness of this acceptable range by always hiring
people who “fit in.”
Firms that want to benefit from differing perspectives
and points of view must widen the range of what is
Fortunately, the time has long
passed when people liked to
regard the United States as some
kind of melting pot, taking men and
women from every part of the
world and converting them into
standardized, homogenized Americans. We are, I think, much more
mature and wise today. Just as we
welcome a world of diversity, so
we glory in an America of diversity—an America all the richer for
the many different and distinctive
strands of which it is woven.
—Hubert H. Humphrey
30
Rena M. Klein, FAIA
FIGURE 2.2 Wide Range of What Is Acceptable Encourages
Diversity of Thought.
While widening the range of what is acceptable may
be challenging, firms that want to succeed in the
twenty-first century will have no choice. The next
generation of American workers will be significantly
more diverse than any that have come before. Having a
culture of openness and acceptance will enable firms to
attract young talent and retain diverse staff over the
long run.
TH E D IV E R S I TY C H A LLE N GE
To minimize the challenges of diversity, firm leaders can start by creating a culture that
is transparent and fair. A firm where all people are valued and given opportunity to
contribute will create an environment of trust. When people trust each other, there can
be a norm of mutual respect, even if there is not always agreement or familiarity. With
respect comes creative freedom, empowerment, and a sense of responsibility toward
one’s work.
To foster diversity and inclusion, firm leaders must overcome the powerful human
tendency to feel more comfortable when surrounded by people they resemble. This
may be especially challenging to leaders of small firms, who work closely on a daily
basis with their staff. The inclination to hire and trust people who are similar to oneself,
in ethnicity, gender, even age, is almost irresistible. However, lack of diversity and
inclusion can create blind spots. Opportunities and risks alike can be missed if everyone
thinks alike or comes from similar backgrounds. This can be true of minority or
women-owned firms, as well as firms owned by white men. To counter this propensity,
firm leaders appreciate, value, and understand differences.
Diversity and Demographics
The United States’ tumultuous and turbulent past with
regard to racial and gender equality set the stage for
consideration of diversity and inclusion in the workplace.
According to the 1960 U.S. Census, virtually all doctors,
attorneys, architects, engineers, executives, and managers
were white men. The civil unrest of the sixties provided a
catalyst for change.
In 1964, the Civil Rights Act was passed, which
made it illegal for the organizations to engage in
employment practices that discriminated against
employees on the basis of race, color, religion, gender,
national origin, age, and disability. In 1965, Executive
Order 11246 was passed, requiring all government
contractors to take affirmative actions to overcome past
patterns of exclusion and discrimination. While these
federal mandates plus several others helped to eliminate
formal policies that discriminated against various classes
of workers, professions and the organizations that
represented them were slow to make changes toward a
more diverse membership.
At the 1968 AIA National Convention in Portland,
Oregon, Whitney M. Young Jr., civil rights activist and
Executive Director of the National Urban League, in his
keynote speech challenged the AIA membership on the
issues of human/civil rights, diversity, and inclusion.
It took a great deal of skill and creativity and
imagination to build the kind of situation we have,
and it is going to take skill and imagination and
creativity to change it. We are going to have to have
people as committed to doing the right thing, to
inclusiveness, as we have in the past to
exclusiveness.
—Whitney M. Young (1968)
In 2012, 44 years later, it is instructive to
understand how the situation has changed and has not
changed. Unless otherwise noted, the source of
demographic information shown is The Business of
Architecture: 2012 AIA Survey Report on Firm
Characteristics.
In 2012, current emeritus AIA members embody the
ethnic makeup of the profession during the second half of
the twentieth century (see Figure 2.3).
The ethnic demographics of AIA member architects
in 2012, as shown in Figure 2.4, reflect the status quo
in the early twenty-first century. It is worth noting that
over the past 20 years, the percentage of African
American AIA architect members has remained at only
1 percent.
Nevertheless, the 2012 ethnic makeup of
associates (see Figure 2.5) portends a future AIA and
architectural profession with more non-Caucasian
participants.
For women the trend is similar, as Figure 2.6 shows.
Only 4 percent of emeritus members are women, while
women make up 16 percent of Architect members, and 30
percent of Associates.
Ethnic Diversity by AIA Member Type: Architects
Ethnic Diversity by Member Type Emeritus
Other
0%
Subcontinental
Asian 0%
Hispanic
1%
Unknown
7%
African American
1%
American
Indian/Alaskan
Native 0%
Asian/Pacific
Islander
3%
African American
1%
Subcontinental
Asian 0%
American
Indian/Alaskan
Native
0%
Asian/Pacific
Islander
4%
Unknown
18%
Other
2%
Hispanic
3%
Caucasian
88%
Caucasian
72%
The Business of Architecture: 2012 AIA Survey
The Business of Architecture: 2012 AIA Survey
Report on Firm Characteristics
Report on Firm Characteristics
FIGURE 2.3 Ethnic Diversity: AIA Emeritus Members
FIGURE 2.4 Ethnic Diversity: AIA Architect Members
(continued)
2.1 Diversity and Practice Management
31
PA R T 1 : T H E P R O F E S S I O N
D IVE R S IT Y WIT HIN T HE AIA
Ethnic Diversity by AIA Member Type: Associate
American
Indian/Alaskan
Native
0%
Asian/Pacific
Islander
5%
PA R T 1 : T H E P R O F E S S I O N
African American
3%
Unknown
23%
Subcontinental
Asian
0%
Enrollment in Accredited Architecture
Programs by Ethnicity
Race and ethnicity
unknown
9%
Non-resident
alien
8%
Two or more
races
2%
Other
4%
American Indian or
Alaska Native
Native Hawaiian
1%
or other Pacific
Islander
Asian
0%
10%
Black or African
American
5%
Hispanic
14%
White
51%
Hispanic
7%
Caucasian
58%
NAAB Accreditation Report, 2011
The Business of Architecture: 2012 AIA Survey
Report on Firm Characteristics
FIGURE 2.5 Ethnic Diversity: AIA Associate Members
35%
30%
25%
20%
15%
10%
5%
0%
Emeritus
Architect
Associate
The Business of Architecture: 2012 AIA Survey
Report on Firm Characteristics
FIGURE 2.7 Enrollment in Accredited Architecture Programs
by Ethnicity
At the university level there appears to be evidence of
some change, as shown in Figure 2.7. In many
architecture programs, women make up 50 percent or
more of the students, with the average being about 40
percent. Although gender balance among architecture
students has been in place since the mid-1980s, the
number of women architect members of the AIA has
remained flat at around 16 percent. Judging by the 2012
percentage of minority AIA associate members (30%),
minority participation in architecture programs must also
be improving. Nevertheless, it clearly still lags behind what
is needed to significantly increase ethnic diversity in the
profession.
FIGURE 2.6 Percentage of Women in AIA Member
Categories
C ON C LU S I O N
A diverse and inclusive workforce is a reflection of a changing world and marketplace.
Diversity among clients, especially in the global marketplace, can in itself be a challenge. Diversity and inclusion at all levels brings high value to organizations and promotes the firm’s ability to adapt to any situation. In addition, diversity and inclusion
will help a firm attract and retain top candidates that can add capacity and competitiveness in the global marketplace.
What follows are two backgrounders that add information and context to the topic
of diversity and inclusion:
• AIA Diversity History Timeline. Since the early 1990s, the AIA has institutionalized
an effort to engage its membership with issues of diversity and inclusion. This brief
timeline highlights some of the significant moments in AIA diversity history.
• Forging a Diverse Culture: The Shepley Bulfinch Experience. This case study of a diversity-award-winning firm contains practical advice for fostering and implementing a
culture of diversity and inclusion.
32
Diversity and Demographics
PA R T 1 : T H E P R O F E S S I O N
F or Mor e I nf o r m ati o n
AIA Diversity and Inclusion Initiative: www.aia.org/about/initiatives/AIAS078656.
Beverly Willis Architecture Foundation: http://bwaf.org/
National Organization of Minority Architects: www.noma.net/
BACKGROUNDER
AIA DIV ER SIT Y HIST ORY
Marg a R os e Hancock, Hon. A IA
In 2011, AIA Diversity and Inclusion commissioned the development and online publication of an AIA Diversity History,
excerpted here. What follows is a brief history of activities by
AIA directed at study and redress of the underrepresentation
of women and racial/ethnic minorities in the profession, with
statistical references and participant observations.
Marga Rose Hancock has taken an active role in AIA Diversity initiatives, as a founding member of the AIA Seattle
Diversity Roundtable in 1986 and a 1992 appointee to
the national Diversity Task Force. In 2011, AIA Diversity
and Inclusion commissioned Rose Hancock to develop
and publish an online AIA Diversity History.
Following the Institute’s 1857 establishment, in 1888
Louise Blanchard Bethune, FAIA, became the first woman to
join the AIA, and in 1923 Paul Revere Williams, FAIA,
became the first African American member.
According to U.S. Department of Labor/U.S. Bureau of
Labor Statistics (BLS, 2011), compared with law and medicine, architecture lags in the percentage of women and
minorities employed in the field (see Table 2.1).
TABLE 2.1 Comparison of Diversity in Architecture to
Medicine and Law (2011)
Percentage of Total Employed
Occupation
Women Black/African Asian
(%)
Americans (%) (%)
Hispanic or
Latina (%)
Architects
20.7
1.6
5.5
4.1
DIVE R S I T Y I N PR OF E S S I ON A L PR A C T IC E
Lawyers
31.9
5.3
4.2
3.2
Women and people of color have practiced architecture and
taken active roles in the profession, but at a rate substantially
below their counterparts in other professions. Concern
regarding the underrepresentation of these constituencies has
engaged AIA leaders: The U.S. civil rights movement of the
mid-1960s saw the initiation of policies and programs seeking to address this concern, as detailed in Table 2.2.
Physicians
33.8
5.3
16.1
6.6
A further comparison: As of May 2012, the BLS also
notes, “Fourteen percent of architects and engineers and 34
percent of physicians and surgeons were women, whereas
61 percent of accountants and auditors and 82 percent of
elementary and middle school teachers were women.”
TABLE 2.2 AIA Diversity Timeline 1968–2011 (excerpted)
1968
In his keynote address to the AIA Convention in Portland, Oregon, Urban League head Whitney M. Young, Jr. challenges
the AIA on issues of social responsibility and diversity within the profession: “We are going to have to have people as
committed to doing the right thing to inclusiveness as we have in the past to exclusiveness.”
1970
AIA/AAF Minority Disadvantaged Scholarship initiated, supporting an average 20 students/year.
1971
Establishment of National Organization of Minority Architects at AIA Convention, Detroit.
1972
AIA presents first Whitney M. Young Award, recognizing “architects and organizations that exemplify the profession’s
proactive social mandate,” to Robert J. Nash, FAIA.
1974
AIA hires Robert T. Coles, FAIA, as Deputy VP for Minority Affairs, to develop “a master plan for minority awareness,” and,
working with Leon Bridges, FAIA, and Marshall Purnell, FAIA, to establish the AIA Commission on Community Services.
1980
Norma Merrick Sklarek, FAIA, the first African American woman licensed as an architect, becomes the first elevated to
the AIA College of Fellows.
1982
Women constitute 3.6% of AIA membership.
1989
“The number of female architects, less than 1,500 in 1970, now approaches 5,000. The number of black architects has
grown from about 1,000 to 2,000, remaining at about 2 percent of the total.”
—Robert Coles, FAIA, “Black Architects: An Endangered Species,” Progressive Architecture (July 1989)
1992
First meeting of the AIA President’s “Task Force on Equal Rights and Proactive Action” in Washington, DC, charged by
then AIA President W. Cecil Steward, FAIA, to develop a comprehensive strategic plan to implement the 1991 civil rights
policy, for presentation to the AIA Board. Named the Diversity Task Force, this group developed a vision of the AIA in the
year 2000 as a multicultural organization.
(continued)
2.1 Diversity and Practice Management
33
PA R T 1 : T H E P R O F E S S I O N
TABLE 2.2 (continued)
1992–93
Susan Maxman, FAIA, serves as the first woman president since AIA’s 1857 founding.
L. Jane Hastings, FAIA, serves as the first woman chancellor of the AIA College of Fellows.
1994
Diversity Conference I: “Breaking the ICE” (Washington, DC). Keynoter: Charlotte, NC, Mayor Harvey Gantt, FAIA.
AIA membership includes 7.3% “all minorities,” 10.45% women, 0.99% minority women.
1996–97
Raj Barr-Kumar, FAIA, serves as first AIA president of color.
1996
Diversity Conference III: “Crossing Lines” (Boston, MA). Keynoter: Patricia Carbine, co-founder of Ms. Magazine.
1997
Diversity Conference IV: “Beyond the Rainbow” (Seattle, WA), proceeded by “Dancing in Design” National Conference
for Women in Architecture organized by Seattle Association for Women in Architecture (AWA). Keynoters: Seattle Mayor
Norm Rice, Professor Sharon Sutton, FAIA, and AIA President Ronald Altoon, FAIA.
1998
Diversity Conference V: “Opening Doors,” Atlanta, GA. Keynoter: Atlanta Mayor Andrew Young.
2001–02
Gordon Chong, FAIA, serves as first Asian American AIA president.
2005
AIA sponsors study of architecture demographics by Holland & Knight: “Of its members, approximately 2% are Hispanic/
Latino, 3% are Asian, and 1% are Black…. As of December 2004, approximately 12% of all of the AIA’s architect
members are female. The AIA does not collect information on disability or sexual orientation.”
2007–08
Marshall Purnell, FAIA, serves as the AIA’s first African American president.
2008
First AIA Diversity Plenary “MultiFORMity” in St. Louis brings together individuals representing architecture, other
professions, business, academia, associations, and AIA components to identify best practices for implementation by the
AIA and its partners in order to move the profession toward a more diverse and inclusive future by improving the
recruitment, retention, and promotion of diverse individuals in architecture. The outcome of the plenary, the “Gateway
Commitment,” leads to the development of a multiyear action plan to address these issues, with a mandate to create a
diversity toolkit designed to engage firms on the issue of diversity and inclusion.
Leers Weinzapfel Associates selected as first woman-owned firm recipient of the AIA Architecture Firm Award.
AIA recognizes Norma Merrick Sklarek, FAIA, as the first woman recipient of the Whitney Young Award.
“Only 1.5 percent of America’s architects are African American (at a time when the U.S. Census shows that African
Americans comprise approximately 12 to 13 percent of the total population).”
—Robert Ivy, FAIA, “Room for All Our Talents,” Architectural Record (May 2008)
2009
Inaugural AIA Women’s Leadership Summit, Chicago, IL: “The first national gathering of women who serve as firm
principals and in other professional leadership roles drew upon their talents and experiences to describe the issues
women face and sought to raise their profile within the profession.”
Second AIA Diversity Plenary, “Value: The Difference – a Toolkit for Firms.” San Francisco plenary brings together AIA
Board members, collateral organizations, related organizations, firm representatives, interns, and students to identify
tools, resources, and approaches to increase diversity and inclusion within architecture firms.
Adoption of the “NOMA/AIA Memorandum of Understanding,” and adoption of “AIA Diversity Action Plan,
2009–2013,” with strategies to 1) expand the racial/ethnic, gender, and perspective diversity of the design professions
to mirror the society we serve; and 2) nurture emerging professionals and influence a preferred future for the internship
process and architecture education.
“According to the latest figures from the National Architectural Accrediting Board, architecture schools are still dominated
by men, though by a decreasing margin. Of all the enrolled and matriculating students of architecture, 59% are men and
41% are women. The gender gap is much wider among faculty, however, with a split of 74% men, 26% women.”
—Lance Hosey, “Women Rule,” Architect (December 2009)
2010
AIA hosts Women’s Leadership Summit, New York. Diversity Best Practice Awards recognize the contribution of
individuals, firms, and AIA component programs to the aim of advancing diversity in architecture.
2011
AIA Women’s Leadership Summit, Kansas City
At the local level, many AIA components have initiated
and advanced programs to reach out to K–12 youth from
underrepresented populations, to support the studies of architecture students at area colleges and universities, and to
engage women and ethnic/racial/gender minorities in AIA
activity and leadership. Beginning in 2009, AIA Diversity
and Inclusion has encouraged and supported such efforts,
and also advances in this area by architecture firms, through
its Diversity Recognition Program.
As multicultural globalism gains ground, the AIA continues its effort to materialize the social power of architecture
and to energize architects from all backgrounds in this manifestation.
34
Diversity and Demographics
For More Information
AIA Diversity Timeline: https://sites.google.com/site/
aiadiversityhistory/.
AIA Archives, Women and Minorities in the AIA, AIA Historical
Directory of American Architects.
Designing for Diversity: Gender, Race, and Ethnicity in the
Architectural Profession (U. of Illinois Press, 2002) by
Kathryn H. Anthony.
Structural Inequality: Black Architects in the United States
(Rowman & Littlefield, 2006) by Victoria Kaplan.
Linda Kiisk, ed., “20 on 20/20 Vision: Perspectives on Diversity
and Design” (AIA Diversity Committee and Boston Society of
Architects, 2003).
F OR G ING A DIVERSE C ULT URE : THE
S H E PL EY B ULFIN CH EXPERIE N CE
diversity of the firm today owes much to her efforts over
her 15-year tenure.
Carole Wed g e, FAIA, LEED A P
The Process
Carole Wedge is President of Shepley Bulfinch, a national
architecture practice. Elected the firm’s first woman president in 2004, she has led its cultural transformation and
geographic expansion.
Diversity in design and corporate leadership has been
central to the transformation of Shepley Bulfinch from a homogeneous, hierarchical environment to one of collaboration
and forward momentum.
Our staff today is engaged and empowered, breaking
down a permission-driven environment and embracing a culture of inquiry. In physical terms, we have created literal
transparency, moving to new workspace with a collaborative
model that eliminates offices and, with it, empowering teams
and individuals.
MAK I NG D I V E R SI T Y A PR I OR I T Y
A diverse workplace is like good design: It is a goal reached
intentionally through a series of thoughtful, informed decisions, and it is most notable in its absence.
Promoting diversity inherently supports a culture that values differences in opinion and perspective, which in turn supports our strategic goals: A diverse mix of individuals who
enrich and broaden the work will advance design and will
make us the best firm we can be.
As a business driver, it is important that our demographic
mix reflects that of our clients. We consider our ability to listen to our clients and to understand their aspirations as a
significant differentiator of a design firm. Creating a high
level of comfort—eliminating any sense of the “other”—is
vital for our own work environment if we are to convey that
to our clients.
The Role of Leadership
What strategies and policies have created a culture of advancement at Shepley Bulfinch that is gender- and color-blind?
It started in a very personal way, as the firm’s leaders
saw their daughters, who were educated and trained to be
intelligent contributors to society, bump up against gender
bias. In 1994, the firm made a deliberate, strategic decision to develop opportunities to prepare women for leadership positions in the fi rm. Our Executive Committee
charged the Principal for Personnel with developing a strategic initiative to recruit and advance a more diverse mix
of professional staff, to bring a range of new voices,
faces, and perspectives to the table. The first director of
human resources was appointed that year, and the
PA R T 1 : T H E P R O F E S S I O N
BACKGROUNDER
While we would like to believe we can have it all, we
know better. As a practice whose success rests on the intellectual capital of our staff, it is vital for us to support worklife balance as a priority. To accomplish that, our HR
director complemented her ambitious recruitment efforts by
working with the Human Resources Committee to establish
policies and practices to support, retain, and advance the
newly diverse staff. In practice, this has meant policies that
make flexibility in support of excellence an integral part of
our culture. This included establishing a formal flextime
policy; introducing an Employee Assistance Plan; pretax
Dependent Care Plan; and providing full benefi ts for
part-time staff.
Flextime has played a particularly important role in the
rise of women in leadership: supporting employees’ work/
family balance, professional development, and opportunities for outreach to underrepresented communities as
teachers and mentors. This lets us retain and advance talented staff, whether they are work-study design students,
parents of young children, or members of the “sandwich”
generation.
Diversity in Practice
The underlying philosophy of our practice is that success and
opportunities for advancement come by doing quality work
and contributing to a team. At times this has meant working
with managers to change their perceptions of how work is
done: our HR team monitors this closely and addresses project team issues by facilitating dialogue rather than letting
assumptions and prejudgment drive team dynamics. When
project schedules or time frames do not align with those of an
individual on a flexible schedule, we work to provide flexible
assignments that offer alternative opportunities for growth
and development.
We have also undertaken staff training on diversity, so that
everyone understands which behaviors are acceptable and
which are out of bounds, while providing language that helps
people communicate directly if a colleague has crossed the line.
Measuring Success by Outcome
Today Shepley Bulfinch is one of few large architecture firms
in the United States with a female president, and one of only
two so represented on the AIA Large Firm Roundtable. Fifty
percent of the firm’s staff is female, and 9 of our 18 principals and directors are from groups that are underrepresented
in the profession.
We succeed because we model our own success and
hold ourselves accountable for promoting diversity both in
(continued)
2.1 Diversity and Practice Management
35
our firm and in the profession. Based on our own experience,
we encourage other firms to take the following steps to provide a diverse workplace:
PA R T 1 : T H E P R O F E S S I O N
• Commitment: Ensure that leaders of the firm and of project
teams are vested in diversity as a goal.
• Opportunities: Mentor formally and informally, creating
opportunities for success and leadership.
• Excellence: Keep merit central to advancement.
• Resources: Commit staff/human resources to the program’s success.
• Policies: Implement and maintain policies that are fair,
flexible, and available to everyone.
• Metrics: Regularly track progress, monitor disparities, and
recalibrate your definition of success.
2.2
For More Information
Society for Human Resources Management: www.shrm.org.
The Progress Principle: Using Small Wins to Ignite Joy,
Engagement, and Creativity at Work (2011) by Teresa
Amabile and Steven Kramer.
Million-Dollar Hire: Build Your Bottom Line, One Employee at a
Time (2011) by David P. Jones.
Drive: The Surprising Truth About What Motivates Us (2011) by
Daniel Pink.
“From the Ground Up: Growing a Thriving Design Firm,” Design
Intelligence (September/October 2010) by James Follett.
“Three Rs for the New Economy: Reposition, Redevelop,
Regenerate,” Design Intelligence (November/December
2010) by Ernest Hutton, Mark Strauss, and Stephen
Whitehouse.
Demographics of Practice: 2012 AIA
Firm Sur vey
James Chu, MBA
The total number of staff at firms fell significantly between 2008 and 2011. The
down economy has also led to a decline of the single-discipline firm, while
multidiscipline firms have grown to attain a more diverse portfolio in project
types and design specialties offered.
SUMMARY O F FI N D I N GS
The economic downturn that started around the end of 2007 had tremendous negative
ramifications for the construction sector. According to the U.S. Bureau of Labor Statistics (BLS), the construction labor market (Construction of Buildings industry–
NAICS Code 236) declined nearly one-third from the height of the building activities
(Figure 2.8).
The labor market for the Architectural Services industry (NAICS Code 54131)
suffered the same fate, declining nearly 30 percent from the peak in 2008 (Figure 2.9).
This trend is likely to continue in the short term as instability remains in the global
economy. At the time of this writing, the European Union is going through its own
financial malaise, while China is showing signs of economic slowdown as well. Hesitation to increase staffing comes with the uncertain economy, and a majority share of the
firms reported little gain in the number of staff during 2011. On average, one in five
firms reported net loss and 16 percent recounted net gain in full-time staffing at their
organizations during 2011.
James Chu joined the AIA in 2005 as the director of research. He has taught and worked in
the private and nonprofit sectors in the field of market research. Prior to joining the AIA he
was a business consultant representing a state economic development office in Tokyo, Japan.
36
Diversity and Demographics
Construction of Buildings Employment (thousands '000)
2,000
1,800
PA R T 1 : T H E P R O F E S S I O N
1,600
1,400
1,200
1,000
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
U.S. Bureau of Labor Statistics
FIGURE 2.8 U.S. Construction of Buildings Employment
Architectural Services Employment (thousands '000)
220
200
180
160
140
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012
U.S. Bureau of Labor Statistics
FIGURE 2.9 U.S. Architectural Services Employment
The larger the firm, the greater the variation in the share of staff gained and lost:
• Firms with fewer than 10 employees: 75 percent reported there was no change to their
full-time staff, while only 10 percent reported gains.
• Firms with 10 to 49 employees: 37 percent reported gains, while 32 percent reported
loss of full-time staff.
• Firms with over 50 employees: 50 percent reported net gains, while slightly over onethird of firms reported a net loss of full-time staffing.
The sluggish economy led to a significantly lower number of hires for contract and
part-time employees. Only one in ten firms reported a net gain for contract and parttime employees in 2011 (Figure 2.10).
100%
16
9
9
84
86
▶ See Navigating Economic
Cycles (7.1) for the AIA 2012
survey findings on the distribution
of firms by size.
80%
60%
65
NET GAIN
40%
NO NET CHANGE
NET LOSS
20%
19
0%
Full time
7
5
Part time
Contract
Unit: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.10 Two-thirds of Firms Had No Change in Full-Time Staff in 2011.
2.2 Demographics of Practice: 2012 AIA Firm Survey
37
STAF F AT A R C H I TE C TU R E FI R MS
Nearly 40 Percent of Staff at Firms Are Licensed Architects
PA R T 1 : T H E P R O F E S S I O N
▶ Diversity and Practice
Management (2.1) includes
findings on the demographics of
AIA members.
The economic downturn has had a major impact on the size of the architecture industry. On average, the number of staff at architecture firms has declined from about 10
in 2008 to 8 in 2011. Of those two employees lost, on average, one was from the nondesign staff and one from the design staff. The loss from the design staff was primarily
from nonlicensed architecture personnel.
Overall, almost two in five employees at architecture firms are licensed architects with another 16 percent of staff comprising interns on the path to licensure
(Figure 2.11).
An additional 13 percent of staff is nonlicensed architecture staff that is not on
the path to licensure. In general, the share of non-architecture staff, which might
include engineers, interior designers, and landscape architects, increases with
firm size.
Finally, approximately 20 percent of workers at firms are non-design staff, which
includes professionals such as accountants, marketers, information technology, and
human resources managers.
Most Firms Use Engineering Consultants
Since the majority of architecture firms are small or midsize businesses, they rely heavily on consultants and part-time staff to provide flexibility.
The 2012 firm survey found that 85 percent of firms regularly hired engineers
as consultants in the past three years, by far the most hired group of professionals.
However, while firms with 100 or more employees are more likely to have engineers on staff, four in fi ve still use engineer consultants to supplement staff.
Approximately three-quarters of firms with 10 to 99 employees use landscape
architect consultants, compared to slightly over one-third of fi rms with 1 to
4 employees. The share of firms that regularly use interior design consultants has
increased, on average, 3 percentage points since 2005 and nearly 10 percentage
points since 2002.
The types of consultants that firms use also tends to vary by firm specialization.
Mechanical, electrical, and plumbing (MEP) engineers are hired as consultants more
100+ 7%
50–99
10%
20–49
12%
10–19
20%
17%
5–9
15%
24%
2–4
19%
21%
18%
18%
10% 14%
45%
1
9%
14%
Licensed architects (not
including principals/partners)
20%
17%
10%
20%
21%
20%
15%
13%
21%
Principals/partners
21%
32%
11% 13%
17%
7%
Interns (on the path to
licensure) and students
20%
18%
14% 3% 14%
100%
TOTAL
19%
0%
17%
20%
16%
40%
13%
60%
Nonlicensed architecture staff
not on licensure path
16%
80%
19%
100%
Other design professionals
(including both licensed and
nonlicensed staff)
Other nondesign,
administrative, and technical
staff
Units: share of architecture staff by positions at firms by firm size
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.11 The Share of Non-architect Staff Typically Increases with Firm Size.
38
Diversity and Demographics
TABLE 2.3 The Largest Share of Firms Use MEP and CS Engineers as Outside Consultants
Residential (%)
MEP engineers
85
74
93
92
CS engineers
78
81
76
78
Landscape architects
56
50
52
65
Interior designers
31
35
33
29
Sustainability consultants
20
17
17
24
Spec writers
17
13
19
20
6
4
4
9
27
18
28
35
Planners
Other specialty consultants
PA R T 1 : T H E P R O F E S S I O N
Commercial/
Industrial (%) Institutional (%)
Total (%)
Units: use of outside consultant in last three years, % of firms by specialization
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
frequently at firms with commercial/industrial and institutional specializations, whereas
residential firms are more likely to use civil and structural (CS) engineers as consultants. Landscape architects are also used by many firms that have an institutional specialization, which may include projects like public buildings, museums, and recreational
structures. In general, it is more common for firms with a commercial/industrial or
institutional specialization to hire code consultants and other specialty consultants, as
there are more features to incorporate into their projects, such as security and communication networks (Table 2.3).
LEED AP Cer tified Staff Nearly Doubles at Firms
Two-thirds of architecture firms now have at least one Leadership in Energy and Environmental Design accredited professional (LEED AP) on staff, versus just one-third in
2008. Ninety percent of firms with 10 or more employees have at least one LEED AP
on staff, and more than half of small firms have at least one LEED AP certified staff
member, compared to just under one-quarter in 2008.
Nearly two-thirds of large fi rms have more than 20 staff with LEED AP
certifications. On average, firms with 20 to 49 employees have 8 LEED APs on
staff, and 3 LEED certified staff typically work at firms with 10 to 19 employees
(Figure 2.12).
1
32
18
2–4
21
10
5–9
3
10–19
4
6
2011
6
2008
35
none
0
10
20
30
65
40
50
60
70
Unit: % of firms with number of LEED AP’s on staff
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.12 The Number of LEED APs on Staff Nearly Doubles in Three Years.
2.2 Demographics of Practice: 2012 AIA Firm Survey
39
F OR MATIO N O F FI R MS
Legal Structure (5.2) discusses the
most commonly used structures
for architecture firms.
S Corporation Is Most Widely Employed Business Structure
PA R T 1 : T H E P R O F E S S I O N
▶ The backgrounder on Firm
When starting a business, one of the first decisions the owner has to make is the type
of business to create. The business type that is best suited for the firm’s situation and
objectives may vary by firm size or specialization. Liability protection and tax concerns
may also play a major role in this decision.
According to the Internal Revenue Service, 70 percent of all businesses start out as
sole proprietorships, since they are relatively easy to start and give the owner discretion
to make decisions. On the downside, these firms have unlimited liability for all debts
against the business, including personal assets.
The share of architecture firms that use the sole proprietorship legal structure has
continued to decline in recent years, with a drop of 5 percentage points from 2008 to
just one in five firms in 2011 (Figure 2.13). The share of firms using the sole proprietorship legal structure has declined significantly since 1997, when nearly half of all
firms were classified as such.
As of 2011, the most common legal structure among all firms, with the exception
of sole practitioners, is the S corporation, with more than one-quarter (28 percent) of
firms reporting having been formed under this legal business structure. The percentage
of firms structured as limited liability companies (LLCs), a legal structure that is now
permitted in most states, increased moderately to 22 percent, from 17 percent in 2008.
At firms with 50 or more employees, the General Business Corporation (Inc.), also
known as a C corporation, is the second choice. Among the firms with 10 to 49
employees, the Professional Corporation (PC), LLC, and the General Business Corporation are evenly divided, averaging around 16 percent for each of the legal business
formations.
Nearly Half of All Firms Have Small Business Status
According to the Small Business Administration (SBA), small businesses represent the
majority of all employer firms and employ about half of all private sector employees.
They pay more than 44 percent of total U.S. private payrolls and have generated 60 to
80 percent of net new jobs annually over the past decade. Different industries will have
different criteria for eligibility, primarily based on the annual gross receipts from the
business. For more detail on the eligibility and standard described in the National
American Industry Classification System (NAICS), visit the U.S. Small Business
Administration website (www.sba.gov). The Architectural Services industry is classified
under the NAICS 541310.
3
S-corp
7
28
Professional
corporation
22
General business
corporation (Inc.)
11
Sole proprietorship
20
9
Limited liability
company (LLC)
Unit: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.13 The S Corporation Is the Most Common Legal
Structure, While Sole Proprietorship Continues to Drop.
40
Diversity and Demographics
40%
43% 44%
38%
PA R T 1 : T H E P R O F E S S I O N
50%
30%
20%
10%
6%
8%
6%
4%
5%
3%
3%
4%
2%
1% 1% 1%
0%
Small Business
Woman-Owned Minority-Owned
Business
Business
Federal
State and Local
Disadvantaged HUBZone Business
Business
Federal and Local
Units: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.14 Nearly Half of All Firms Are Recognized as Small Business Entities.
Small businesses create more than half of nonfarm private gross domestic product
and supplied just over 20 percent of the total value of federal prime contracts in Fiscal
Year 2010. More than 4 in 10 architecture firms report that they are recognized as a
small business at either the federal or state/local level (Figure 2.14). One-half of architecture firms with fewer than 20 employees report that they are recognized (both
federally and at the state/local level) as a small business, while just over one-quarter of
firms with 20 to 49 employees are recognized as such.
The share of firms that are federally recognized women-owned business enterprises (WBE) is 6 percent, and the share that are state/local recognized WBEs is
8 percent, both of which are down significantly from 2008 with declines of three and
five percentage points, respectively.
Approximately 4 percent of firms are federally recognized minority-owned businesses enterprises (MBEs), while 3 percent of firms are federally recognized as a Small
Disadvantaged Businesses or Disadvantaged Business Enterprises (SDBs or DBEs).
The HUBZone program (Historically Underutilized Business Zones) helps small businesses in urban and rural communities gain preferential access to federal procurement
opportunities. Currently, just 1 percent of firms are recognized either at the federal or
state/local level in this category.
▶ See the backgrounder WBE/
MBE/DBE/SBE Certification (3.1)
for related discussion on
certification as a Woman-Owned
Business Enterprise (WBE),
Minority-Owned Business
Enterprise (MBE), Disadvantaged
Business Enterprise (DBE), or
Small Business Enterprise (SBE).
Formation of New Firms Grows
The weak economy sparked new firm formations. Six percent of existing firms were
formed between 2009 and 2011, and almost one-quarter of firms were formed since
2005. More than one-half of firms were formed since 1995.
In comparison, fewer than one-tenth of firms were founded before 1970. However, more than three-quarters of firms with 50 or more employees were established
before 1980. Two in five sole practitioners started their firms since 2005. Not surprisingly, firm size is indicative of its longevity, since firms generally need time to grow
(Table 2.4).
Number of Offices Decline at Largest Firms
The majority of architecture firms have one office, although just over 10 percent have
multiple offices (Table 2.5). Approximately two-thirds of firms with 10 to 49 employees
and one-quarter of firms with 50 or more employees have one office.
▶ Developing and Managing
Multiple-Office Firms (5.9)
addresses the challenges of
leading and managing a multioffice architecture practice.
2.2 Demographics of Practice: 2012 AIA Firm Survey
41
TABLE 2.4 Over One-Third of All Firms Formed After 2000
Number of Employees
PA R T 1 : T H E P R O F E S S I O N
2011 (%)
1 (%) 2–4 (%) 5–9 (%)
10–19 20–49 50–99
(%)
(%)
(%)
100+ (%)
2010–2012
6
12
6
3
1
0
0
0
2005–2009
17
27
20
9
5
2
0
0
2000–2004
14
17
16
15
9
6
3
0
1990–1999
25
22
25
26
25
23
9
3
1980–1989
19
13
19
25
28
21
18
9
1970–1979
10
6
10
10
17
16
20
20
1960–1969
4
2
2
5
7
12
18
31
1950–1959
2
1
1
3
4
10
8
6
Before 1950
3
0
1
4
4
10
24
31
Units: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
Two in five of the firms with 100 or more employees have five or more offices. The
majority of firms have offices that are located exclusively in the United States, with just
2 percent reporting that they have offices abroad including Canada.
The change in the number of offices was most dramatic at the largest firms between
2008 and 2011. The share of firms with 100 or more employees that have multiple
offices and had five or more offices in 2008 has declined significantly, with the majority
reporting that they now maintain just two to three offices.
On the other hand, more than one-third of firms with 50 to 99 employees that have
multiple offices reported having four or more offices in 2011, versus just over onequarter who reported the same in 2008.
South Atlantic Regional Share of Firms Increases While Middle
Atlantic Sees Largest Decrease
The 2012 AIA Firm Survey geographical breakout (based on the U.S. Census:
https://www.census.gov/geo/www/us_regdiv.pdf) showed the Pacific Southwest and
South Atlantic regions continue to have the greatest share of firms, 22 and 18 percent, respectively. The East South Central region has the smallest share of firms,
with just 4 percent, followed by West North Central, with 6 percent. The share of
TABLE 2.5 Multiple Offices at the Largest Firms Decrease Considerably
Number of Employees
Number
of Offices
All Firms
2011 (%)
All Firms
2008 (%)
2011
2008
2011
2008
50–99
employees (%)
50–99
employees (%)
100+
employee
(%)
100+
employees
(%)
5+
2
3
20
18
43
60
4
1
1
16
9
9
7
3
2
2
13
14
20
10
2
7
7
21
26
20
5
1
88
87
30
33
9
18
Units: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
42
Diversity and Demographics
Pacific Southwest
18%
7%
8%
Pacific Northwest
4%
5%
2011
South Atlantic
West North Central
13%
18%
2002
6%
7%
12%
13%
East North Central
14%
Middle Atlantic
New England
PA R T 1 : T H E P R O F E S S I O N
10%
12%
West South Central
East South Central
22%
17%
7%
7%
Units: % of firms
*The geographical (division) breakout is based on the U.S. Census Bureau
(4 Regions) and (9 Divisions) state line standard. The description and states
included in each region and division can be found in the following link
(http://www.census.gov/geo/www/us_regdiv.pdf).
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.15 The Pacific Southwest and South Atlantic Regions Saw the Largest
Increase in the Share of Firms in the Past Decade.
firms in the New England, Pacific Northwest, West South Central, and East North
Central regions has remained relatively unchanged in the past 10 years. The largest
growth in the last decade was the Pacific Southwest and South Atlantic regions, with
an increase of four and five percentage points in the share of firms, respectively
(Figure 2.15).
T HE P R AC T I C E
Most Design Specialty Offerings Increase
Nearly all firms (97%) report that they offered architecture services at their firm in
2011, with a significant share also reporting that they offered the design-related disciplines of pre-design services (61%), space planning (57%), interior design (57%), and
planning (52%).
The share of firms offering the sustainable/green design specialty grew significantly from 2005 to 2008, but changed little from 2008 to 2011, with nearly half of
firms offering this specialty in 2011. The share of firms offering the interior design,
space planning, and planning design specialties grew modestly in these three years
(Table 2.6).
Fewer than half of small firms reported that they offer sustainable design services,
while over two-thirds of the midsize firms, and four in five large firms, do so. Of firms
with an institutional specialization, 57 percent report offering sustainable design as a
specialty in their practice, in contrast with an average of 45 percent of firms with a
commercial/industrial or residential specialization.
Multidisciplinar y Firms Continue to Grow
The economy is going through a transformation and so is the architecture industry.
The share of architecture firms that describe their practice as single-discipline continued to decline in 2011, falling below 60 percent, as more than one-third of firms report
2.2 Demographics of Practice: 2012 AIA Firm Survey
43
TABLE 2.6 Despite the Economic Downturn, Share of Firms Offering Most Design-Related
Specialties Has Increased
PA R T 1 : T H E P R O F E S S I O N
Firm Type
2011 (%)
2008 (%)
2005 (%)
Architecture
97
97
97
Pre-design services
61
n/a
n/a
Space planning
57
54
50
Interior design
57
54
49
Planning
52
50
48
Consulting
n/a
42
44
Sustainable/green design
49
50
31
Historic preservation
30
30
29
Design-build
22
21
20
Construction management
18
17
16
Urban design
17
16
15
Landscape architecture
11
11
10
Engineering
8
8
8
Practice-based research
6
n/a
n/a
Other
7
10
8
Unit: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
that they are now multidisciplinary (with architecture as the lead discipline) versus just
over one-quarter a decade ago (Figure 2.16). Firms may tend to add other disciplines
to their practice at the peak of the economy, although firms may also try to find additional work by adding other disciplines during an economic downturn, even though
they often cannot add any additional staff.
The share of multidisciplinary architecture firms has doubled in the past 15 years,
from 18 percent in 1996 to 36 percent in 2011. More than four in five firms with 50 or
more employees now characterize themselves as multidisciplinary, although it is firms
with fewer than 10 workers that have shown the most growth into multidisciplinary
practice (Table 2.7).
In 2011, nearly two-thirds of firms with fewer than 10 employees and one-third of
firms with 10 to 49 employees described their practice as single-discipline.
100%
80%
57
62
60%
65
64
67
Architecture–single discipline
Architecture–multidiscipline
40%
20%
0%
36
32
29
27
23
7
6
6
9
10
2011
2008
2005
2002
1999
Other (e.g. E/A, Interior, Planning, etc)
Unit: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.16 The Single-Discipline Architecture Firm Continues to Decline.
44
Diversity and Demographics
TABLE 2.7 Multidiscipline Firms Increase Another 10 Percent from Three Years Ago
Number of Employees
100+
(%)
All Firms (%)
1 (%)
Single discipline—2011
57
74
63
49
39
20
11
1
Single discipline—2008
62
79
69
59
41
23
9
7
Multidiscipline—2011
36
17
30
46
54
68
79
86
Multidiscipline—2008
32
12
26
37
51
64
79
80
Other discipline—2011
7
9
7
5
7
12
10
13
Other discipline—2008
6
8
5
4
8
13
12
13
PA R T 1 : T H E P R O F E S S I O N
2–4 5–9 10–19 20–49 50–99
(%) (%)
(%)
(%)
(%)
Firm Type—Architecture
Units: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
BIM Software Used by Slightly More than One-Third of Firms
On average, just over one-third of firms were using building information modeling
(BIM) software as of 2011. At the same time, 36 percent of firms do not use BIM
software and do not plan to use it in the near future. About one-quarter of firms that
are not using BIM software are considering purchase of this tool in the next few years.
The majority of firms with 100 or more employees are using BIM software, while
three-quarters of firms with 20 to 99 staff size are doing so.
Two-thirds of firms with 10 to 19 workers are using BIM software, and just over
half are currently using this tool in conjunction to billable work. Another one in five in
this firm size group are not currently using BIM, but plan to acquire software in the
near future (Table 2.8).
The firms using BIM software for billable work indicate that they are most likely
to use it for design visualization services (91% of firms), coordinated construction
documents (74%), and sharing models with consultants (55%). Larger firms also indicate that resolving conflicts with other disciplines (clash detection) and sharing models
with constructors/trade contractors are primary uses of BIM software in their office
(Table 2.9). Nonbillable work using BIM software might include but is not limited to
training, competition, marketing, archiving older projects, etc.
TABLE 2.8 Less Than One-Third of Firms Using BIM for Billable Work
Number of Employees
2–4 5–9 10–19 20–49 50–99 100+
(%) (%)
(%)
(%)
(%)
(%)
Total (%)
1 (%)
Yes, we are using it for billable
work
29
16
22
28
54
71
79
100
Yes, but we are not yet using it
for billable work
9
9
8
14
10
7
10
0
No, but plan to acquire within
the next 12 months
7
7
8
8
8
5
0
0
No, but plan to acquire
sometime (not within the next
12 months)
19
17
23
21
13
9
5
0
No, and do not plan to acquire
36
51
39
30
15
8
6
0
Units: % of firms
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
2.2 Demographics of Practice: 2012 AIA Firm Survey
45
TABLE 2.9 Design Visualization and Construction Documents Most Widely Used on BIM
Software
PA R T 1 : T H E P R O F E S S I O N
Number of Employees
Total
(%)
1 (%)
2–4 5–9 10–19 20–49 50–99 100+
(%) (%)
(%)
(%)
(%)
(%)
Design visualization
91
92
91
91
89
94
90
94
Coordinated construction documents
74
63
68
67
83
91
92
97
Sharing models with consultants
55
31
44
55
69
79
83
80
Resolving conflicts with other
disciplines (clash detection)
46
28
30
43
55
75
87
86
Sharing models with constructors/
trade contractors
34
22
28
25
37
55
71
66
Quantity takeoffs/estimating
27
30
27
25
22
26
37
31
Energy/performance analysis
24
19
19
17
25
31
58
51
In the learning phase of the software
2
2
4
1
0
1
0
0
Other
3
4
3
1
3
3
6
0
Units: % of firms (those who currently use BIM—multiple selections permitted)
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
C ON S TRU C TI O N S E C TO R S S E R V E D
Majority of Firm Billings Derived from New Construction Projects
With the economic downturn, the share of architecture firm billings from new
construction projects declined dramatically from 2008 to 2011. Three years ago
new construction projects accounted for nearly two-thirds of firm billings, but by 2011
that share had fallen by 12 percentage points to account for just 53 percent of billings.
While new projects still constitute the overall majority of firm billings, renovations,
rehabilitations, additions, and other construction projects have markedly increased
their share, particularly at midsize and larger firms. At firms with fewer than
10 employees, the majority of their firm billings continue to be from renovations,
rehabilitations, additions, and historic preservation, as in the past. Issues that are likely
related to the economic downturn have led more clients to request modifications to
existing buildings instead of entirely new structures, which were more common in the
past (Figure 2.17).
Institutional Projects Make Up Biggest Share of Firm Billings
When considering the distribution of architecture firm billings by project type, institutional projects continue to account for the largest share of billings at all firms (except
for the smallest), accounting for an average of 58.2 percent of firm billings (Table 2.10).
One key change from 2008 to 2011 was the decline in the share of commercial/
industrial projects, which fell by more than four percentage points in that three-year
period. The shares of all types of projects in this sector declined, with the largest loss
coming from office projects, where the share of billings fell by more than two percentage points.
A fairly substantial decline of nearly four percentage points can also be found in the
share of projects reported as “other construction,” which respondents reported included
projects like auto dealerships, mixed-use projects, and parking lots/garages.
On the other hand, the share of firm billings from both the institutional and residential sectors increased from 2008 to 2011, with institutional billings climbing by
nearly five percentage points. The largest gains in this sector came from education
projects (both K–12 and college/university projects), which offset minimal declines in
46
Diversity and Demographics
100%
38%
80%
45%
44%
53%
51%
53%
55%
PA R T 1 : T H E P R O F E S S I O N
New construction
projects
61%
60%
Renovations,
rehabilitations,
additions to existing
structures and/or
historic preservation
activities
40%
56%
51%
42%
52%
44%
43%
39%
20%
33%
Other
nonconstruction-related
services
5%
0%
All
Firms
6%
4%
4%
1
2–4
5–9
5%
5%
6%
6%
10–19 20–49 50–99 100+
Units: % of firm billings
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.17 New Construction Projects Account for Just Over Half of Firm Billings.
TABLE 2.10 Nearly 60 Percent of Firm Billings Are from Institutional Projects
2011 (%)
2008 (%)
Single-family residential
6.2
5.5
Multifamily residential
7.5
5.8
13.7
11.3
Office
9.2
11.3
Retail, food services, warehouses, etc.
7.6
8.4
Hospitality
3.7
4.8
Residential Total
Industrial
3.3
3.6
Commercial/Industrial Total
23.8
28.1
Education (K–12)
12.4
9.0
Education (college/university)
12.4
9.0
Health care
17.2
18.2
Justice (e.g., corrections, courthouses)
1.6
2.3
Other government/civic (e.g., post office, federal office buildings)
6.4
5.9
Religious
2.0
2.2
Cultural (e.g., museums)
2.0
1.7
Recreational (e.g., sports centers, theme parks)
2.2
2.3
Transportation (e.g., airports, rail, bus, mass transit)
2.2
2.9
Institutional Total
58.4
53.5
Other construction projects
2.3
6.0
Nonconstruction projects
1.8
1.1
Units: % of firm billings
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
2.2 Demographics of Practice: 2012 AIA Firm Survey
47
PA R T 1 : T H E P R O F E S S I O N
the share of billings from health care, justice, religious, recreational, and transportation projects.
The increase in the share of billings from residential projects was primarily led by
a gain of nearly two percentage points in multifamily projects, although there was a
minimal increase in billings from single-family projects as well. While the downturn
had a significant effect on residential projects in their earlier stages, demand was once
again beginning to increase in 2011.
Of those firms that did report having billings from residential projects in 2011,
more than two-thirds of those billings (67%) were from new housing units. An average
of 44 percent of total residential billings were reported to be from new multifamily
housing units, although the share ranged from less than 10 percent for sole practitioners all the way up to 80 percent for the largest firms.
Only small firms reported that a larger share of their residential billings came from
new single-family units than from new multifamily units. And sole practitioners were
the only group to report that more than half of their residential firm billings were from
additions or renovations, which accounted for less than one-quarter of residential billings at firms with 10 or more employees (Figure 2.18).
The majority of architecture firms can be classified as having had either a residential or an institutional specialization in 2011 (defined as having 50 percent or more of
2011 firm billings from that sector). Smaller firms were more likely to have a residential specialization, while larger firms were more likely to have an institutional specialization.
The share of firms with a commercial/industrial specialization hovered around just
2 in 10 firms, regardless of firm size. The remaining firms are classified as mixed,
meaning that they do not have 50 percent or more of their firm billings from any one
category.
The share of firms with an institutional specialization has increased by nearly six
percentage points since 2008, while the share of mixed firms has declined by nearly the
same amount. Firms with a more diversified practice in the past appear to have honed
their specialization more, leading to fewer of the more generalist firms with billings
from a variety of project types (Table 2.11).
4%
6% 10%
80%
100+
Construction of new
multifamily housing units
4%
62%
50–99
13%
21%
5%
60%
20–49
13%
22%
5%
58%
10–19
27%
5–9
2–4
1
30%
15%
9%
18%
39%
35%
0%
20%
31%
15%
23%
40%
60%
Additions to existing
housing units
31%
24%
44%
All Firms
13%
18%
Construction of new
single-family housing
units
33%
9%
Renovations/remodels/
alterations of existing
housing units
24%
80%
100%
Units: % of residential billings, of firms with residential billings in 2011
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
FIGURE 2.18 Two-thirds of Residential Billings Involved New Construction.
48
Diversity and Demographics
TABLE 2.11 Majority of Firms Have a Residential or Institutional Specialization
Number of Employees
All Firms
2008 (%)
1
(%)
2–4
(%)
5–9
(%)
10–19 20–49 50–99 100+
(%)
(%)
(%)
(%)
Residential
33.5
35.0
47.2
39.0
26.2
13.6
8.8
Commercial/
industrial
21.7
21.0
20.6
23.6
20.5
19.3
20.3
23.4
5.0
26.4
Institutional
32.9
27.0
18.3
24.2
42.1
59.4
64.8
63.2
64.5
Mixed
11.9
18.0
13.9
13.2
11.2
7.6
6.1
8.3
6.1
PA R T 1 : T H E P R O F E S S I O N
All Firms
2011 (%)
3.0
Units: % of firms with 50% or more of 2011 firm billings in given sector
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
Majority Share of Billings from Repeat Clients
Architecture firms report that nearly two-thirds of their firm billings are from basic
design services (an average of 64% of billings for all firms). Approximately 10 percent
of billings are from planning and pre-design services, 9 percent from nonarchitectural
design services, and 8 percent from expanded design services.
Smaller firms report that less of their billings are from nonarchitectural design
services and slightly more are from basic design services than for larger firms. But for
the most part, the distribution of firm billings by service type has been little affected
by the downturn and is relatively the same as it was in 2008.
On average, more than two-thirds of 2011 architecture firm billings (68%) were
from projects for repeat clients, an increase of 10 percentage points from 2005
(Table 2.12). Although firms have reported during the downturn that clients have been
soliciting bids from more firms than was typical in the past, clients are still more likely
work with a firm with whom they already have an established relationship.
Firms with a commercial/industrial specialization reported the largest share of
their firm billings from repeat clients (75%), while firms with a residential specialization indicated that nearly half of their billings (45%) were from new clients.
Nearly One-Third of Firm Billings from Government Clients
Clients from state and/or local government entities remain the most common client
type for architecture firms of all sizes, accounting for one-quarter of all firm billings in
2011, while at midsize firms they accounted for nearly one-third of their billings
(Table 2.13). Small firms reported that nearly half of their billings were from private
TABLE 2.12 Repeat Clients Account for Larger Share of Firm Billings Than in Past
All Firms
2011 (%)
All Firms Residential Commercial/ Institutional
2005 (%)
(%)
industrial (%)
(%)
Repeat clients, noncompetitive
selection
43
48
48
55
37
Repeat clients, competitive
selection (interview, proposals,
etc.)
25
10
8
20
29
New clients, noncompetitive
selection
10
26
21
10
7
New clients, competitive
selection (interview, proposals,
etc.)
23
16
24
15
26
Units: % of firm billings
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
2.2 Demographics of Practice: 2012 AIA Firm Survey
49
TABLE 2.13 More Than One-Quarter of Firm Billings from State/Local
Government Clients
Number of Employees
PA R T 1 : T H E P R O F E S S I O N
All Firms 1 (%)
(%)
2–4
(%)
5–9
(%)
10–19 20–49 50–99 100+
(%)
(%)
(%)
(%)
State or local government
(including public schools)
25.4
8.6
13.7
25.6
29.6
32.4
30.7
17.6
Other business,
commercial, or industrial
companies
19.9
11.7
16.7
18.6
13.7
22.1
22.8
21.8
Nonprofit institutions (e.g.,
private schools, museums,
churches)
15.8
10.2
11.4
9.6
11.9
10.8
11.6
29.3
Developers, construction
companies
14.4
14.4
14.0
15.3
12.4
16.7
14.1
13.3
Private individuals
12.1
44.2
37.1
22.7
18.5
7.3
4.9
3.6
Federal government
7.0
0.4
1.1
4.0
7.9
6.6
9.1
8.7
Other architects, engineers,
design professionals
4.3
8.2
5.1
3.1
3.9
3.5
3.5
5.7
Other
1.2
2.2
0.8
1.1
2.1
0.5
3.3
0.0
Units: % of firm billings
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics
individuals, but overall private individuals accounted for just 12 percent of billings at
all firms.
Business, commercial, and industrial companies are also popular clients, accounting
for 20 percent of firms’ billings, while nonprofit institutions accounted for 16 percent
(and nearly one-third of billings at firms with 100 or more employees). Regardless of
firm size, very little work was done for the federal government in 2011.
Pro bono work is relatively common at many firms, with 6 in 10 having provided
pro bono work in 2011. Large firms were much more likely to provide pro bono work
than small firms, with 67 percent of firms with 50 or more employees providing the
service in contrast to 55 percent of firms with 4 or fewer employees. Firms with an
institutional specialization were also much more likely to report having offered pro
bono work than those with residential or commercial/industrial specializations.
C ON C LU S I O N
In an effort to document emerging trends in the practice of architecture, the American
Institute of Architects periodically has conducted comprehensive surveys of its
member-owned firms. These Business of Architecture reports present benchmarks that
allow firms to assess their practices and evaluate their operations in comparison to their
peers. In this way, the architecture profession can monitor its current performance
while pursuing shared goals for the larger architecture community.
During the survey, conducted in early 2012, firms provided information on characteristics and operations in 2011. The analysis in part compares these results to earlier
surveys to assess how the profession is changing. Generally, firm activity is compared
and contrasted by the size of the firm (number of employees on payroll), the region of
the country, and the construction sector concentration of the practice (residential,
commercial/industrial, and institutional) for those firms that received 50 percent or
more of their annual revenue from one of these three sectors.
Unless otherwise specified, all information in this report was generated by the
American Institute of Architects.
50
Diversity and Demographics
The AIA has surveyed architecture firms since 1988 as
part of a commitment to maintain an accurate profile of the
business practices of the profession. Last conducted in
2009, the 2012 Firm Survey examined many of the same
issues previously explored.
Survey content was developed by AIA staff and
volunteer leaders. Sampling, data collection, and
tabulation were handled with the assistance of Readex
Research, an independent research company.
ABO UT RE A D E X R E SE A R C H
Readex (www.readexresearch.com) is a nationally
recognized independent research company located in
Stillwater, Minnesota. Founded in 1947, its roots are found
in survey research for the magazine publishing industry,
but its specialization in conducting high-quality selfadministered surveys has brought it clients from many other
markets, including associations, corporate marketers and
communicators, and government agencies.
three list sources: members of AIA’s Large Firm Roundtable,
AIA’s firm owner/partner members, and participants in the
2009 Firm Survey. When duplicates were removed to
include only one individual per location using carrier route
and delivery point bar code information, this list included
a total of 10,827 offices. Of these, 10,405 had
deliverable email addresses on file.
DATA C OLLEC TION
Tabulated results are based on a total of 2,805 usable
responses with a response rate of 27 percent. Because a
significant fraction of those invited to participate chose not
to do so, the possible effects of nonresponse bias on these
results should be considered. Percentages based on all
2,805 responses are subject to a margin of error of ±1.6
percent at the 95 percent confidence level. Percentages
calculated on smaller tabulation bases—for example, offices
in New England—are subject to more statistical variability.
For More Information
S AM PL E C OM POS I T I ON
The population of interest was all domestic offices of U.S.
architecture firms. The sampling frame was developed from
The Business of Architecture: 2012 AIA Survey Report on Firm
Characteristics. To purchase the report, please visit The AIA
Bookstore: http://www.aia.org/store.
2.2 Demographics of Practice: 2012 AIA Firm Survey
51
PA R T 1 : T H E P R O F E S S I O N
AIA F IR M SURVEY B AC KGRO UN D A N D M E THO D O LO G Y
PA R T 1 : T H E P R O F E S S I O N
C H A P T E R
3
Career
Development
3.1
Regulation of Professional Practice
Cornelius R. DuBois, FAIA
Individuals are licensed to practice architecture, and in doing so, to protect the
health, safety, and welfare of the public. Licensing regulations vary among the
54 U.S. jurisdictions, and each architect is responsible for understanding,
observing, and abiding by the appropriate statutes, rules, and policies.
TH E BAS IS FO R TH E R E GU LATI O N O F TH E P R A C TI C E
OF ARC H ITE C TU R E
In order to practice architecture, individuals must hold a license in the jurisdiction in
which they wish to practice. The regulation of architecture and of other professions in
the United States falls under the authority of the 50 states, three territories (Guam,
Puerto Rico, and the U.S. Virgin Islands), and the District of Columbia. This authority
is left to the states by the Tenth Amendment of the U.S. Constitution, in the Bill of
Rights.
Although the licensing laws applying to the practice of architecture may at first
appear to be both broad and complex, they exist principally to provide for the health,
safety, and welfare of the public. To do so, these regulations set the minimum qualifications determined by a jurisdiction to be necessary to assure the public that the professionals designing buildings for human occupancy have met the appropriate requirements
for education, experience (training), and examination. Equally important, these laws
Cornelius R. (Kin) DuBois has practiced architecture since 1979. He has served as 2010–11
president of the National Architectural Accrediting Board and 2007 president of AIA Colorado, and is a former member of the NCARB board of directors.
52
HI ST ORY OF TH E LIC EN SURE O F ARC H I TE C TS
Regulation of the practice of architecture is a relatively recent development, especially
when one considers for how many centuries architects and proto-architects have been
designing buildings. The regulation of some professions, particularly those of medicine
(beginning with the Code of Hammurabi in 1700 bce) and law (300 ad), had been in
place and tested for many years before registration laws for architects in the United
States came into being.
Regulation of architecture did not happen overnight. The first law was enacted in
the State of Illinois in 1897, establishing a licensing board in 1898. Other states gradually adopted their own statutes and set up their own registration boards over the next
fifty-plus years, with Wyoming and Vermont as the final states to adopt licensure in
1951. The territories of Puerto Rico, the U.S. Virgin Islands, and Guam subsequently
joined the licensing jurisdictions to create, with the District of Columbia, the current
total of 54.
Licensing laws are enacted by the legislatures, which establish administrative agencies to implement the laws. The registration board established by statute is typically
managed and coordinated by a regulatory agency of the state that may have responsibility for licensing of a great variety of professions (medical, legal, accounting, and
others) and occupations.
The regulation of professions is not static. The laws applying to licensing can be
revised either when legislation is introduced to amend an existing statute or during a
“Sunset” process in those states that mandate a periodic review and justification of the
rationale for regulatory requirements. In a Sunset Review, a licensing statute is
deemed to have automatically expired unless and until a thorough review has been
conducted and it has been determined that the needs of consumer protection and
safeguarding the health, safety, and welfare of the public will be served by continuation of the statute in some form. With or without a Sunset Review, the content of an
architectural licensing statute is subject to a legislative process—and sometimes to
political whims that are not always predictable. As a result of this, the efforts by
NCARB and others to encourage uniformity among the jurisdictions counter a pull
in the opposite direction as legislative cycles leave their imprint on the laws that
regulate architects.
Alongside the statutes are the rules that are developed by the regulatory agencies
and the registration boards. Although rules are set outside of the legislative process,
they are still subject to a public process requiring, in most cases, a public hearing held
by the registration board after proposed rule changes have been published and promulgated.
A generally accepted philosophy of regulation guides the process for both statute
and rule: to establish the minimum threshold of regulation necessary to ensure the
protection of the public. While the concept of minimum threshold may be subject to
personal or political interpretation, this approach offers some assurance to counter the
tendency of a statute to accumulate superfluous or inappropriate provisions over time.
Whether this is always effective may be questioned, but this principle provides a consistent yardstick that must be held up to set any discussion of amendments or revisions
to a licensing law.
Amendment X (“States Rights”) of
the U.S. Constitution says, “The
powers not delegated to the
United States by the constitution,
nor prohibited by it to the States,
are reserved to the States
respectively, or to the people.”
This is why there are 54 different
licensing jurisdictions, each with
its own statute, rules, and
policies. This provides challenges
to professionals seeking to
practice in multiple states, and it
can mystify, at first, those from
other countries with a single
licensing or credentialing
authority. The National Council of
Architectural Registration Boards
(NCARB) has developed our
system of reciprocal licensure in
part as a response to this reality.
3.1 Regulation of Professional Practice
53
PA R T 1 : T H E P R O F E S S I O N
serve a critical function in consumer protection, to assure the public that when an
architect is selected, that individual has met these minimal standards and has therefore
demonstrated the requisite competence and integrity required of the profession.
The concept of “minimal” standards should not be misinterpreted to suggest that
the bar for qualification to practice is set low. The stakes—the protection of the public—are indeed high. “Minimal” is also intended to mean that regulations should be
without superfluous requirements or testing of knowledge and skills that do not relate
directly to health, safety, and welfare.
Practice Acts and Title Acts
PA R T 1 : T H E P R O F E S S I O N
Licensing statutes are termed either “practice” or “title” acts. All architectural licensing
laws in the United States are practice acts that describe and regulate practice as well as
the use of the title “architect.” Other professions may be regulated by title acts only. In
such instances, an individual must have met certain qualifications in order to use a
specific title. This title may be a subset of a broader title (“Registered” Interior Designer
or Landscape Architect, for example), but the statute does not extend to define or
regulate practice under that title, is less likely to set up a registration board, and may
assign discipline for misuse of the title to an administrative process. Title acts can be
amended in a legislature so that they become, in effect, practice acts—or they can be
“enabled” in statute so that their conversion can be effected through rule-making by
the registration board. Inasmuch as other professions may affect or overlap with the
practice of architecture, it becomes critical for architects to be aware of other statutes
and how changes in these might affect architectural practice.
Some states, when adopting licensing laws, included grandfathering provisions.
Sometimes referred to as “eminence clauses,” these allowed active professionals educated and trained under an earlier and perhaps less rigorous framework to continue to
practice. In general, among architectural statutes, grandfathering is now a thing of the
past. It does arise occasionally when new statutes affecting “allied” or related professions make their way through the legislative process. The rationale for such clauses in
new legislation is that an overly aggressive stance can deny some individuals (who may
have been in successful practice for years) their means of livelihood. Negotiation of
such clauses can also be a political outcome of efforts to gain adequate support for—or
to ward off opposition to—new title or practice acts.
ELEME N TS I N C O MMO N TH R O U GH O U T LI C E N S I N G L AW S
Despite the forces that would seem to pull 54 statutes in 54 separate directions, there
are many key elements consistent among virtually all architectural licensing laws, which:
•
•
•
•
•
•
Establish a board and the rules governing its composition, authority, and operation.
Define the practice of architecture.
Set the requirements for licensure and entry into the profession.
Include exemptions for certain structures not requiring an architect.
Define professional conduct and misconduct.
Establish sanctions and the parameter for the application of these when the statute
is violated.
Licensing laws may include a range of other elements that are specific to the jurisdiction and not in common with all others, such as requirements for continuing education, for corporate practice, or for supplemental examinations or qualifications for
practice. The balance of this article will include detailed discussion of all of these.
TH E RE GIS TR ATI O N BO A R D
Board composition varies by jurisdiction. There are “architect-only” boards that only
regulate the practice of architecture. Many states have versions of “combined boards.”
These boards, which are established to achieve greater administrative efficiency, may
deal with the regulation of architects and allied or compatible professionals such as
professional engineers or professional land surveyors. Others may include myriad other
professions or credentialing categories. Not surprisingly, combined boards are found
more commonly in smaller states and territories where administrative resources would
be stretched if a separate board for each profession were the goal.
In addition to architects who are represented on a registration board (along with
engineers and others on combined boards), there are public members. While they may
not be as familiar with the practice of architecture as are the professionals, public members
54
Career Development
PA R T 1 : T H E P R O F E S S I O N
hold a critical function on any board, giving boards a balance of opinion and a variety of
perspectives. Since architect members, in the position of regulating their own profession,
may be subject to at least a perception of a conflict of interest, active public members can
counteract this and confer additional legitimacy to the work of the registration board.
Some statutes require that these public members represent specific areas, such as
members of the legal profession, educators, or general contractors, while other board
positions are opened to any member of the public.
In 2012 there were over 400 individuals (many of whom are architects) serving on
architectural registration boards in the United States, none of whom are compensated
for their considerable time and voluntary effort. In most cases, the board members have
all been appointed by the governor for terms that vary in length from state to state and
which may or may not allow for renewal of term. The appointment process can be
complex, sometimes (but not always) political, and complicated by considerations of
diversity (regional, gender, ethnic, and other) within a given jurisdiction.
The 54 registration boards constitute the membership of the National Council of
Architectural Registration Boards (NCARB), which represents the regulatory functions of the profession as one of the five “collateral” architectural organizations. The
boards formulate the rules and policies of NCARB, and working with the boards,
NCARB establishes national standards for the licensure and credentialing of architects.
The other four collateral organizations are the American Institute of Architects (AIA),
the American Institute of Architecture Students (AIAS), the Association of Collegiate
Schools of Architecture (ACSA), and the National Architectural Accrediting Board
(NAAB), each serving different aspects of the profession.
D E FI NI T I ON OF TH E PRAC TIC E OF A R C H I TE C TU R E
Every licensing law (usually at the beginning of the statute and often within a section
on “definitions”) contains a definition of the practice of architecture. A few states take
the most direct approach and adopt the NCARB Legislative Guidelines and Model Law,
Model Regulations without modification. Others use the NCARB document as a template for their statutes, modifying to suit local conditions and politics and reviewing
and adapting to revisions and updates as they may be implemented through the resolution process held at the NCARB Annual Meeting.
The practice of architecture is not typically defined by means of an exclusive list of
items of practice but is, rather, a collective definition. Architects do many things in the
course of programming, designing, creating documentation, and administering the
construction of buildings, and elements of these are shared with other occupations. In
the course of their work, architects accept a unique professional responsibility that is
not shared with others. Interests from other professions, trades, or occupations may
seek to limit the definition of architectural practice when a licensing statute is subject
to amendment or undergoing a Sunset Review process. The outcome may be a definition of practice that is at variance with that in the NCARB Legislative Guidelines or it
may be in the form of specific exemptions.
There is a long history of the interface of the definition of the practice of architecture and that of engineering. In some states, a clear distinction is established between
the activities of the two professions, while in others engineers may engage in aspects
of architectural practice—or specific building types—if it falls within their “area of
expertise.” Likewise, architects may be permitted to “engineer” (that is, to calculate and
size) structural elements in some instances, such as for smaller residential buildings. In
either case, an added consideration will be the willingness of a code official to accept
such work when permitting a set of construction documents.
Statutes respecting other allied professions such as landscape architecture and interior design may also overlap or conflict with the definition of the practice of architecture.
An architect practicing in a new jurisdiction would be well advised to scan the corresponding statutes and rules for these to confirm that there are no potential conflicts.
3.1 Regulation of Professional Practice
55
PA R T 1 : T H E P R O F E S S I O N
Another consideration that must be weighed is that some of these professions may be
regulated only via title acts instead of practice acts.
As with the overlapping practices of architecture and engineering, the ability of
other professionals to stamp and submit construction documents for building permit
approval will always be subject to some degree of discretion on the part of the building
official. In a state where there is no statewide building code, the window of what is and
what isn’t acceptable may vary from one municipality or county to the next.
U SE OF TH E TI TLE
The privilege to use the title “architect” in any form is specific to a licensing jurisdiction, and an individual licensed to practice in one jurisdiction may not use the title in
another until he or she has been granted a license there.
Not only is the title “architect” regulated, but so is use of the title in combination
with other terms and in the form of what is commonly called “the derivative.” Not only
is this a subject that can vary significantly from state to state, but individual jurisdictions, through the legislative or rule-making process, also may make changes in these
provisions from time to time. This is a particularly sensitive issue affecting interns. A
few states allow the use of “intern architect,” while a greater number allow only “architectural intern” (use of the derivative). Still other jurisdictions allow neither, in which
case an intern is an intern.
While an intern proceeding diligently through the Intern Development Program
for three years or more may be flying under the radar screen, using a title on resumes,
business cards, and firm marketing materials that is contrary to what is allowed, carelessness can get an intern into difficulty when actually applying for a license. This can
result in fines or other sanctions, as well as delays in issuing the license. The fact that
some of the offending material may have been produced by the firm for which the
intern is working (possibly without the intern’s knowledge) may not obscure the fact
that it is the individual intern who is ultimately responsible.
Registration boards also take different approaches with respect to the use of the
title by nonprofessionals. The general rule is that a term, such as “software architect,”
which is highly unlikely to be misconstrued as referring to someone providing actual
architectural services, may be disregarded by a board, while other terms may be seen
as more suspect.
The term “holding out” is commonly applied to someone representing that they
are an architect without holding a license in that jurisdiction. The term is applicable,
whether or not the individual is already licensed in another state or has no qualifications
whatsoever. Some states offer what are termed “fishing licenses,” allowing a professional
to temporarily use the title while actively pursuing a specific project. These often
require the architect to be affiliated with a local firm in order to be granted this status.
Some states also allow for “emeritus” or “retired” architect status, allowing continued use of the title in some form. It has often proved difficult to establish a regulatory
rationale for such titles, since they serve more of a purpose of conferring or acknowledging status than of protecting the public or the consumer.
Examples of Violations of Use of the Title “Architect”
Violations of the use of the title can come in many forms, some of which are referred
to in the discussion above, and professionals may inadvertently find themselves paying
the price, even when there has been no intent to deceive the public. An architect from
another state may prematurely use the title on a proposal, or may even do preliminary
work on a project before receiving a license. Interns may use the disallowed title
(“intern architect” or “architectural intern”) on resumes, business cards, marketing
materials, listings on awards, or magazine articles. A firm may list an intern as “project
architect,” when “project manager” or some alternative would be more appropriately
56
Career Development
Licensing boards do not view the
use of “AIA” after someone’s
name as an inappropriate use of
the title—unless the title has
clearly been used or manipulated
(such as “AIA architect”) so that it
may appear as an attempt to
mislead the public in a state
where the individual is not
licensed.
U SE OF T H E STAMP OR SEAL
Licensing statutes require that every architect have a stamp or seal in his or her possession. Depending on the jurisdiction, this may be in the form of a rubber stamp or
an embossing seal. Some boards require verification that the licensee has indeed
acquired the stamp. The particular requirements (dimensions, required text) are typically included in the rules of the registration board and not in the statute. These rules,
from one jurisdiction to another, are evolving with respect to electronic documents and
whether these can be “stamped” electronically, with or without an encrypted signature.
The use of the stamp on a set of documents (both drawings and specifications)
submitted for a building permit signifies that the architect has been in “responsible
control” of the preparation of the drawings. Responsible control is defined in the
NCARB Legislative Guidelines and Model Law, Model Regulations, and tends to be consistently applied throughout the United States. The architect must stamp only those
documents prepared under his control: The NCARB Model Law makes it clear that
“Reviewing, or reviewing and correcting, technical submissions after they have been
prepared by others does not constitute responsible control.” In other words, an architect has no business stamping and signing someone else’s shop drawings.
The comparable term in engineering is “responsible charge,” which essentially
means the same thing. Each of the architect’s consultants must stamp their documents
prepared under their own responsible charge. All changes to the drawings after the
building permit issue must also be stamped and signed (and in many cases, dated) by
the architect and the engineers, respectively.
Building departments, which are ultimately responsible for the acceptance or rejection of the construction documents, may refer to the “Architect of Record.” This terminology may not appear in the licensing statute, but it essentially implies the same
thing. A building department may require a stamp on other documents, such as a written response to a plan correction notice. The architect must comply with these requirements. However, a stamp should never be used for extraneous purposes; for example,
on a certification required by a lender on a project.
The term “plan-stamping” refers to the inappropriate use of a stamp by an individual not in responsible control of the preparation of the documents. This is a serious
violation of any statute, and it is discussed below in the section on discipline.
QUA L I F I C AT I ON S F OR LIC EN SU RE
Licensing statutes define the qualifications for licensure, dealing in different ways with
the same three topics—education, experience, and examination:
• Education. While the majority of jurisdictions now accept only a NAAB-accredited
degree as a prerequisite to licensure, a declining number of jurisdictions allow a
lower threshold for education. The bar may be set at: a minimum four-year
Interchangeable Terminology: The
terms “registration” and
“licensure” are used
interchangeably. “Registration
board” and “licensing board”
are also used in this article, as
are “states” and “jurisdictions.”
The states, territories, and the
District of Columbia have
“licensing statutes” and
“registration boards.” The one
term that does not lead to
interchangeability is “architect.”
There is no acceptable use of a
term such as “unlicensed
architect.”
3.1 Regulation of Professional Practice
57
PA R T 1 : T H E P R O F E S S I O N
consistent within the licensing statute. Out-of-state firms and individual practitioners
may find themselves referenced inappropriately in the press, or they may directly violate the statute by entering a competition in a jurisdiction where a license is required.
Although a design firm may be called to task in some of these situations, requiring
an appearance before the board, it is ultimately the individual who must take responsibility for how he or she is represented to the public. If called before the registration
board, an honest account is without question the best approach.
Licensing boards must also contend with complaints about misuse of the title by
nonprofessionals. There may be deliberate misuse of the title by disguising it in combination with other terms, such as “design architect” or “architectural renderer” (where
the derivative is not allowed). In these cases, boards take seriously their responsibilities
to protect the public and the consumer while not unnecessarily tying up their or the
administrative department’s time with frivolous or pointless complaints.
PA R T 1 : T H E P R O F E S S I O N
pre-professional degree, such as a Bachelor of Science in Architectural Studies; a
four-year degree in an unrelated field; a two-year associate’s degree from a community college or technical college; and in some cases, a high school diploma.
• Experience. The second area of requirements for licensure applies to experience.
Typically, this means completion of the Intern Development Program (IDP). When
a state allows a lower education threshold it will usually require a longer term of
internship (experience) before an individual without an accredited degree can qualify for the Architect Registration Examination® (ARE®). These jurisdictions may
also allow some parallel means to documenting experience that is nevertheless based
on and parallel to IDP.
• Examination. This is the final step. The licensing jurisdiction must determine when
the individual has qualified to take the ARE, in some cases allowing early eligibility
to take portions of or the entire exam before completion of the experience requirement. Whereas in the past, the “three legs of the stool” (education, experience,
examination) were seen as being assembled sequentially, it is now not unusual to
have candidates begin to acquire qualified experience while still enrolled in a degree
program and to begin the exam before completing the experience requirement. In
all cases, however, a jurisdiction will not issue a license until all steps have been successfully completed.
Upon successfully meeting their registration board’s education, examination, and
experience requirements, a candidate for licensure will then have to complete that
board’s application and fulfill any additional requirements of that jurisdiction. These
will certainly require the payment of a fee, but there may also be a supplementary exam
covering local conditions or a jurisprudence exam, typically a take-home open-book
test of the candidate’s knowledge of local licensing laws and rules. Only upon completion of all requirements will a license then be issued.
There are potential disqualifications for licensure, such as past felony convictions
including specific convictions for sex-related offenses or for failure to pay child support.
Foreign-Educated and Trained Professionals
Individuals educated in other countries, and even those who have been practicing as
architects in their home country, have additional hurdles to clear in order to become
licensed to practice in any of the 54 jurisdictions. This may include obtaining an EESANCARB evaluation (performed by Education Evaluation Services for Architects) of a
foreign-educated architect to determine in what areas additional education might be
required. In this evaluation, the candidate’s transcript (in English) is weighed against
the NCARB Education Standard. Some states also accept individuals licensed in other
countries who have demonstrated competence through the NCARB Broadly Experienced Foreign Architect Program. Other jurisdictions will not allow a foreign-educated
individual to take the ARE unless he or she acquires a NAAB-accredited degree.
The difficulty of understanding the wide variation of applicable regulations is made
more daunting by the fact that many foreign-educated professionals come from countries where there is a single licensing authority and a single set of rules.
RENE WAL O F A LI C E N S E
Licensing requirements include different renewal cycles or terms. These can be one-,
two-, or three-year cycles. Although a licensing board may send out renewal notices, it
is incumbent upon the individual to know when a license is due to expire. Some jurisdictions allow for a grace period for overdue renewals, and this may include an additional fee penalty. In a jurisdiction where no grace period is allowed, or where a license
has lapsed beyond the period allowed, an individual is likely to have to start the licensing process all over again.
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Career Development
▶ The accompanying
backgrounder on continuing
education provides a detailed
discussion of MCE requirements.
PA R T 1 : T H E P R O F E S S I O N
In many states, mandatory continuing education (MCE) is now a requirement for
re-licensure.
The renewal form, likely to be available online, will typically include a series of
questions, including those relating to whether the licensee has been the subject of
disciplinary action related to a stamp held in another jurisdiction or whether another
license has been voluntarily relinquished (this may be indicative of a stipulated agreement to resolve a disciplinary action). When the fee has been paid and an architect’s
stamp is renewed, the licensee will receive a new license to post on the wall as well as
a new wallet card.
R E CI P R OC I T Y
There are two principal means of obtaining a license in a jurisdiction beyond the original one in which an architect was registered. The first, and the most common, is
referred to either as “comity” or “endorsement.” Even though the terms have slightly
different meanings, they are essentially the same thing. The technical meaning of
comity is accepting as a courtesy the qualifications for licensure from another state.
Even when comity is applied, most jurisdictions will require the applicant to have a
certified NCARB Council Record, which is then forwarded to the state in addition to
filling out the application form and sending in a fee. In a state using the term “endorsement,” the process will be the same.
The second means for reciprocal licensure is where a registration board will accept
the NCARB Certificate on its own. This includes those states that will accept applicants
who have qualified for NCARB certification via the Broadly Experienced Architect
(BEA) program or the Broadly Experienced Foreign Architect (BEFA) program. The
option applies to architects without a NAAB-accredited degree who have been licensed
in another state for a minimum period of time (6 to 10 years, depending on the level of
education attained). Through this process, the architect must demonstrate equivalent
learning through practice in order to fulfill each of the requirements specified in the
NCARB Education Guidelines. The BEFA option applies to architects licensed by a foreign credentialing authority. The BEFA process requires establishment of an NCARB
Record, preparation of a dossier to demonstrate experience, and a personal interview.
For a number of reasons, especially pertinent to applicants under the BEA program, it often proves valuable for architects to retain a license in the first state in which
they were registered. In a new state, the same rules pertaining to new licensees are
likely to apply with respect to supplemental or jurisprudence exams, and some jurisdictions also include an affirmation that the architect has passed a seismic exam or taken
the ARE after a certain date (1965) at which seismic content was included.
▶ See the backgrounder on
NCARB Certification (3.2) for
related information.
E X E MPT I ON S
Perhaps no subject engenders more heated discussion of licensing statutes in the legislative arena than that of exemptions to the requirements that buildings be designed
by architects. The reasons for these exemptions, which exist across the spectrum of
jurisdictions, are often philosophical, practical, or purely political.
There are several types of exemptions, the most common being those for buildings
not intended for human habitation or occupancy (for instance, some agricultural structures). The next most common are for residential structures, defined either by size,
height, the number of occupants or families, or construction cost. These vary widely
among the jurisdictions and are subject to push and pull every time an architectural
licensing law is opened up to legislative and public scrutiny. Anyone designing a structure that is exempt because of size or cost must be especially attentive to the definition
applying to that exemption. For example, how is cost defined? The final cost of a project might exceed a preliminary estimate and thus place the structure out of the protection of the exemption.
3.1 Regulation of Professional Practice
59
PA R T 1 : T H E P R O F E S S I O N
T H E AR C H IT EC T IN
R E LATION T O OT HER
P ROF E S S IONS
Architects practice in a broader
context of related and allied
professions. There are
corresponding exemptions in the
regulation of other professions,
just as architectural licensing laws
have exemptions for others to
engage in aspects of practice
that might fall under the definition
of the practice of architecture. As
architects continue the trend of
expanding services both
horizontally and vertically, they
must become particularly
attentive to the full breadth of the
law and not just what is found in
architectural licensing statutes.
In addition to exemptions for types of buildings, there may be exemptions for categories of practice: A statute, in deference to the Supremacy Clause of the U.S. Constitution (which says that the federal government must operate free of interference by
the states) may be specific that federal employees are exempt from the requirements of
the licensing statute. Also, as discussed earlier, there may be partial or full exemptions
for other professions to engage in architectural practice in some form.
Likewise, the licensing statutes of these other professions may allow reciprocal
exemptions for architects, for both title and practice. A simple example is when an
architect is allowed to engage in site design even though this may also fall into the
description of the practice of landscape architecture. Another might be when an architect is allowed to describe “interior design” services when a title act for interior designers also exists. These nuances require architects to be aware of not only their own
licensing laws but also those applying to related fields.
Finally, there is an important paradox relating to exemptions and exempt structures: One does not have to be an architect in order to design an exempt structure.
However, if a nonarchitect is holding out as an architect while advertising for or
designing an exempt structure, they will likely be found in violation of the statute.
C ORP ORATE P R A C TI C E
Some jurisdictions require firms as well as individuals to be registered in some form.
In some states the firm name must be registered with (and approved by) the licensing
board. This may require an annual fee.
Beyond the mechanics of corporate registration, corporate practice requirements
in licensing laws may comprise several, sometimes complex, areas. One of the most
common governs the composition of firms. Depending on whether a firm is a sole
proprietorship, a partnership, a professional corporation, or another type of entity,
there may be a requirement for a certain number of the firm’s principals or directors
to be—or for a minimum percentage of stock ownership to be held by—architects
licensed in the jurisdiction.
Firm names may also be regulated, and an architectural practice from another state
may discover that it is operating under a name that is not acceptable in a new state.
Firm name requirements may govern the use of what are termed “fictitious business
titles,” and may require a formal approval by the regulatory agency. “Fictitious” may be
a confusing term for an architecture firm that sees itself as anything but imaginary, but
it applies to a firm name that does not indicate the ownership of the firm. For instance,
a firm called “Architectural Partnership” doesn’t include the names of the actual partners in its title and is thus a fictitious business title.
Other provisions may limit how long a firm can keep the name of a deceased or
retired partner or principal. Architecture practices may find themselves removing the
name of a deceased partner or resorting to initials in order to comply with regulations
in their home states or in order to practice without reincorporation in multiple jurisdictions. Similarly, a firm with
NCAR B .OR G
only a single registered architect cannot use “Architects” in
its title.
The website of the National Council of Architectural
Regardless of what a licensing statute regulates with
Registration Boards, NCARB.org, is an invaluable source
respect
to corporate practice, there are likely to be other
of information on licensing requirements, including
restrictions
and requirements to set up a business in the
documents such as the Rules of Conduct and the
state.
The
administration
of these usually resides with the
Legislative Guidelines and Model Law/Model
secretary of state’s office. A firm must decide (factoring
Regulations. The site also offers a Registration
both legal and accounting advice) whether or not to regisRequirements Comparison Chart and provides links to
ter with the secretary of state in a new jurisdiction, and in
the sites of the individual registration boards. Please refer
some cases it may even be necessary to reincorporate
to the “For More Information” section at the end of this
under a different structure just to be able to practice at all
article for specific links to documents.”
in the state.
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Career Development
▶ The backgrounder on Firm
Legal Structure (5.2) further
addresses business entities.
PA R T 1 : T H E P R O F E S S I O N
Other regulations affecting corporate practice may apply. Some have requirements
for the services of an architect to be retained during the construction period or for
work to be performed only with a signed agreement. Such rules are not only important
to understand, but they also may offer tangible benefits to practice in that state.
C OM P L AI N T S
Any member of the public (whether a client, a building user, or another architect) can
file a complaint with a licensing board. Once received, the complaint is reviewed first
by the staff and then by the board, which will choose among several courses of action:
• Dismissal. A complaint can be dismissed either with or without prejudice, which has
a bearing on whether the complaint can be brought up again if more information
or evidence becomes available.
• Investigation. The board can send complaints either to staff investigators or to
consultants (often other architects) to look into the matter in detail, reviewing
drawings and other documents and then making a recommendation to the
board.
• Referral to the state attorney general’s office. A complaint against a nonlicensee may not
fall under the actual jurisdiction of the board, in which case the attorney general’s
office can pursue an action, resulting in a sanction such as a cease-and-desist order.
• Deferral. Boards may hold off on taking an action after reviewing the complaint,
sometimes until a separate civil or criminal suit is resolved.
• Disciplinary action. The board may take an action after reviewing the complaint.
The duty to file complaints does not fall solely on members of the public. Indeed,
architects have a duty to report violations of the statute, whether this has been committed
by an architect or an unlicensed individual. Architects also have a responsibility to selfreport life safety issues, including those that result in insurance claims. This duty to report
may be either when an event occurs or in the course of filling out the license renewal form.
The responsibility to report violations of the statute is one that architects are often
uncomfortable with. An architect must, however, consider the possible consequences
(to the public or to the occupants of a building) should a violation of a licensing law
not be reported.
D I SCI P L I N E
As discussed above, there are two basic types of violations considered by licensing boards:
• Violations by untrained and unlicensed individuals. Discipline in such cases may not fall
under the purview of the licensing board and must be referred to another agency,
such as the state attorney general’s office.
• Violations by trained individuals, either those licensed and already practicing in the
jurisdiction or those who are not yet licensed there.
Those not yet licensed may have an application already in process, or they may be
interns “moonlighting” (performing services outside of their regular employment and
without a license). In these and in similar instances, the registration board has a purview and may ultimately grant a license pending payment of a fine and acknowledgment of the violation per a stipulated agreement.
Perhaps the most common instances leading to major disciplinary actions are those
involving plan-stamping or misuse of the title (holding out). Registration boards, with
the advice and guidance of their administrative agencies or state attorneys, have a range
of options from which to choose, including:
• A letter of admonition that becomes part of the public record
• Fines, within the level of authority given to the board by statute or rule
3.1 Regulation of Professional Practice
61
PA R T 1 : T H E P R O F E S S I O N
•
•
•
•
•
Cease-and-desist orders issued by the state attorney general’s office
Requirements for specific remedial education (such as a course in ethics)
Suspension of a license for a specific period
Revocation of a license
Imprisonment: for instance, if an individual refuses to obey a cease-and-desist
order
Board rules usually spell out the due process established for complaints. These
define the steps that must be followed: complaint, investigations, hearing, decisions or
referral, possibly negotiation, and ultimately appeal.
Discipline levied in one licensing jurisdiction can have a direct effect on a license
held in another state. NCARB maintains a disciplinary database that can be accessed
by licensing boards, either in the course of investigating a complaint or when a license
is renewed and an architect has checked off a box indicating discipline in another jurisdiction. The outcome can be that a license may be revoked or suspended if a violation
in one state is comparable to what would have been a violation in another. This general
rule is important, for example, when a violation of a corporate practice requirement in
one state might not be applicable in another. A felony conviction in one state, however,
is almost certain to apply across state lines.
There are other, potentially grave, business consequences of performing work
without a license. These include the difficulty of recovering fees for work performed once it has been discovered that someone has been practicing without a
license. Courts have typically been reluctant to grant relief to the professional in
such cases, when an architect has brought suit to collect against a client who has
refused to pay.
BOARD RU LE S A S O P P O S E D TO S TATU TE S
Licensing boards also maintain Rules of Procedure as well as written Policies. The
Rules spell out the details not covered in the statute, and they often include the details
applicable to qualifications for licensure, such as:
TH E U .S . ARC HIT EC T AN D GLO B A L
P RAC T IC E
More U.S. architects are practicing or seeking to
practice in some form in countries around the world. As
much as regulation varies in our country from one
jurisdiction to the next, global regulation appears in even
more forms. Some countries don’t regulate at all, while
others credential the title only. In some cases, the title of
“architect” may be granted upon graduation from an
architecture degree program. In the face of confusing—
and occasionally ambiguous—regulation abroad, many
architects wisely choose the option of teaming with a
local firm instead of attempting to operate solo in
another country. As with our own requirements, a foreign
country may not accept education here as comparable to
what is approved in that location, and if there is an
examination requirement, that test will most likely be
given in the language of that country. International
practice is still in many ways an untested and rapidly
evolving area, making attention to the particulars of
architectural regulation especially important.
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Career Development
• Equivalent process and documentation to be followed in
the few states that do not require IDP
• Rules for allowing early examination
• Requirements for design and use of the stamp
• Rules regarding the wall license and wallet card
• Conformance to an ethical code
Most boards develop their own ethical code based in
whole or in part on the NCARB Rules of Conduct. A few
states simply adopt these by reference.
The details applying to Mandatory Continuing Education (MCE) are also included in the board’s rules. These
will specify the process by which MCE must be documented as well as the categories of continuing education
that are allowed and disallowed.
The rules of a registration board can be amended by the
board through a public rule-making process. Such a process
will include requirements for promulgation of language proposed for new rules, time for a public comment period, and
adequate notice for the public hearing that must be managed
by the board. Board policies, on the other hand, detail board
and staff procedures that are not subject to the formalities of
rule-making. These can be acted upon independently by the
board, with the staff of the regulatory department.
Rules and policies are important parts of the total framework for the regulation of
practice. Any architect searching for a topic in the licensing law and coming up empty
should go next to these documents to find the answer.
PA R T 1 : T H E P R O F E S S I O N
C ONCL USI ON
The regulation of architects, for which the overarching purpose is to protect the public health, safety, and welfare, is a complex world, covering many aspects of individual
and corporate practice. The dynamics of regulation among the 54 separate jurisdictions
can seem confusing, but it is important to consider that this complexity—and indeed
richness—reflects our society, our national history and the U.S. Constitution, regional
particularities, and the evolving conditions in which architects practice. It is the responsibility of each professional to keep pace with this context and to understand the laws
and rules of the jurisdictions in which he or she practices or wishes to practice.
F or Mor e I nf o r m ati o n
NCARB Legislative Guidelines and Model Law: http://www.ncarb.org/Publications/~/media/Files/PDF/Special-Paper/Legislative_Guidelines.pdf.
NCARB Rules of Conduct: http://www.ncarb.org/Publications/~/media/Files/PDF/
Special-Paper/Rules_of_Conduct.pdf.
Broadly Experienced Foreign Architect (BEFA) program: http://www.ncarb.org/en/
Getting-an-Initial-License/Foreign-Architects.aspx.
Broadly Experienced Architect (BEA) program: http://www.ncarb.org/Certificationand-Reciprocity/Alternate-Paths-to-Certification/Broadly-ExperiencedArchitect-Program.aspx.
EESA-NCARB evaluation process: https://www.eesa-naab.org/home.aspx.
BACKGROUNDER
W BE /M B E/DB E/SB E C ERT IF ICATIO N
K aty Fla m mia , AIA
Women-owned, minority-owned, and small design firms
may access business opportunities by becoming certified
as a Woman Business Enterprise (WBE), Minority Business
Enterprise (MBE), Disadvantaged Business Enterprise
(DBE), or Small Business Enterprise (SBE). Understanding
the definitions, processes for certification, and opportunities will help to determine if certification is a good strategy
for a firm.
Katy Flammia is an architect in Boston. Her firm, THEREdesign, specializes in the design of branded environments for
corporate, hospitality, and academic clients and has been
certified as WBE, MBE, and DBE since 2007.
growth of these businesses and their greater participation
in the economy.
The process for awarding contracts, the amount of the
goal (% MBE or WBE participation required on each contract), qualification requirements, and method of certification
varies from state to state, from year to year, and from awarding agency to agency. Because it is impossible to give exact
numbers or qualifying information, this article will offer general definitions and will outline a strategy for determining if
certification is right for a firm. It will also cover how to find
the information needed to pursue certification and, most
importantly, what to do once certified.
IS A F IR M ELIGIB LE?
Woman- or Minority-Owned Business Enterprise (WBE
or MBE)
INT ROD U C T I ON
A firm must meet the following requirements:
State and local governments have established goals for
awarding a portion of design and construction contracts to
minority- and women-owned and small business enterprises. The purpose of these goals is to encourage the
• Minimum 51 percent woman or minority ownership of the
firm.
• Some states have personal net worth limits for company
owners.
(continued)
3.1 Regulation of Professional Practice
63
PA R T 1 : T H E P R O F E S S I O N
• Some states may have a size standard. Check state
requirements.
• Certification required.
Disadvantaged Business Enterprise (DBE)
A firm must meet the following requirements:
• Minimum 51 percent woman or minority ownership of the
firm.
• The personal net worth of the business owner may not
exceed $1.32 million (excluding business equity and personal residence).
• Certification required.
Small Business Enterprise (SBE)
• The U.S. Small Business Administration defines “small” by
industry. Most state and local governments follow the SBA
guidelines when certifying SBEs. In 2012, the limits were
as follows:
• Architectural services: $7 million average annual revenues over 3 years
• Interior design: $7 million average annual revenues over
3 years
• No personal net worth limit for company owners
I M P O RTA NT C ON S I D E R AT I ON S
Before starting the certification process, do some research
about what contracts are being offered by government and
corporate entities that require or encourage the use of minority-owned, woman-owned, disadvantaged, or small businesses.
What Kind of Work Does the Firm Do? What Is the
Firm’s Specialty?
For example, if a firm specializes in housing or K–12 and
higher educational facilities, projects on which the firm’s services will be needed will be offered by state and local governments.
On the other hand, if the firm designs private residences or specializes in hospitality or retail, it is much less
likely there will be contracts issued that require or encourage the use of fi rms with MBE, WBE, DBE, or SBE
certification.
good strategy is to team with larger firms as a
subconsultant.
• Create a marketing plan identifying the types of projects that align with a fi rm’s strengths and business
direction.
• Research which agencies, municipalities, and corporations are offering those sorts of contracts the firm does.
• Determine what agencies require or encourage using
minority-owned, woman-owned, and disadvantaged and
small businesses.
• Begin the certification process once firm leaders are satisfied that there are plenty of opportunities for the firm.
C ERTIF IC ATION PR OC ES S
Woman- or Minority-Owned Business Enterprise
(MBE or WBE)
Most states, agencies, and corporations require a third-party
certification. Many states have an agency that does the certification, and the process is free. This often means the firm is
only certified in a particular state.
There are other organizations that certify for a fee. The
Women’s Business Enterprise National Council (WBENC) is
an example. This certification is nationally accepted, but a
firm will need to determine if the organization’s certification
is recognized by the contracting agency/corporation.
Go to a state government’s website to learn about the
process.
There is generally a relatively long list of documents firm
owners will need to provide. Typical documents include company tax returns, copies of proposals or contracts, paystubs,
or W2s.
The state may require an interview. Someone from the
certifying agency will come to a firm’s office and ask firm
owners and staff about their work. The purpose of this visit is
to establish that:
1. The company actually is a real business.
2. The woman or minority owner actually runs the firm and
is not only an owner in name.
The entire process can take a few months to complete. Certification needs to be renewed every one to three years.
Disadvantaged Business Enterprise (DBE)
What Size Is the Office, and What Size Projects Does
the Firm Design?
If a firm is very small, it may be very hard to acquire large
contracts for projects such as school buildings or housing
developments. Nevertheless, this doesn’t mean the firm
shouldn’t get certification and team with other firms on
large projects or try for small projects. Small projects are
often grouped together under an indefinite scope contract.
These are awarded by an agency to several firms that are
then “on call” for projects as they come up. Another
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Career Development
DBE certification is a federal program and is distinct from
most states’ WBE/MBE certification. It can sometimes be
applied for simultaneously, reducing repetitive paperwork.
There are similar requirements to the WBE and MBE certification, but in addition firm owners will need to provide:
• Personal tax returns
• Personal financial statement
DBE certification is generally up for renewal every one to
three years.
This is a self-certification process, as follows:
• On the Small Business Administration website, look up the
firm’s NIACS number and determine whether the company is within the limit for the industry.
• Get a Data Universal Numbering System (DUNS) number
at http://fedgov.dnb.com/webform/.
• Register with the System for Award Management Site
(SAM). This has replaced the Central Contractor Registry
(CCR) and is a database that awarding agencies use to
find firms and learn about the services they offer.
Certification generally needs to be renewed annually.
•
•
•
G E T T I NG W OR K A F T E R C E RT I F I C AT ION
Being certified only gives a firm an enhanced opportunity to
compete for work. Now the firm must put a marketing plan
into action.
Many states have online resources listing contracts
posted by the purchasing agency. Some offer an e-mail subscription to receive solicitations. Others require someone to
check regularly for opportunities.
Some agencies may require that a firm submit and keep
current a master file or a standardized document with information on the business.
Few of the designations give a firm access to work as
“set-asides,” meaning that projects or a certain percentage
of a project can be given only to qualified participants. All
of the designations discussed may only give a firm a small
bump up among all the qualified applicants. Firm owners
will still need to market, network, and pitch their company’s
services. It’s important to meet the decision makers and
become acquainted with members of designer selection
boards.
If working as a subconsultant is the goal, let prime
contractors know about the firm’s services. Create marketing materials that list the firm’s services and all certifications. Make it easy for “primes” to invite the firm onto their
teams.
Most importantly, the firm needs to do very good work.
In some areas, contractors have used these certifications to
gain contracts and have underperformed, causing certification to sometimes be stigmatized. To counteract this,
firms need to build a body of excellent work and a strong
reputation.
Tips
• Entering into the world of government contracts is like
learning a new language. It definitely requires a time and
resource investment.
• Accept that it takes time and effort in the beginning to
make the company known.
• Remember to market just as for any other work the firm is
trying to get. Those who assume the phone will start to
•
ring as soon as they get certified often give up and think
the effort was useless.
There are literally hundreds of resources for assistance.
Many of these are free. The hardest part is narrowing
down which events, training activities, and mentors are
best for a firm leader to attend.
Be very careful about companies promising to get the
firm contracts. They are usually selling expensive services. Start with a state’s local programs and with the
Small Business Administration. Look for websites that
have the .gov address; these are usually the legitimate
sites.
Don’t take on more than the firm can handle at once.
Choose two or three agencies or project types and go
deep rather than broad. Once the firm is established in an
agency or field, then branch out.
Seek advice from firms who have been doing government
work. Many times an allied professional, such as a landscape architect or an engineer, is a good resource. Getting work is all about teaming, so sharing leads can be
very useful.
PA R T 1 : T H E P R O F E S S I O N
Small Business Enterprise (SBE)
OTH ER DES IGNATIONS
Small Disadvantaged Business (SDB)
The 8(a) Business Development Program is much like the
WBE, MBE, and DBE, but with a very low net worth threshold. Unlike the other programs, this program has project setasides that are given to qualified participants of this program.
A firm ages out after eight years of participation or outgrows
the program when the firm earns more than the program
limits, whichever comes first.
Hubzone-business areas are specially designated innercity neighborhoods employing local workers. There are also
other designations that might offer opportunities, such as
Veteran-Owned and Disabled-Veteran-Owned.
For More Information
Small Business Administration: http://www.sba.gov/.
Minority Business Development Agency: http://www.mbda.gov/.
Women’s Business Enterprise National Council: http://www.
wbenc.org/.
National Women Business Owners Corporation: http://www.
nwboc.org/.
8a Certification: http://www.sba.gov/content/8a-businessdevelopment/.
System for Award Management Site (SAM): https://www.sam.
gov/sam/.
Small Business Enterprise Self-Certification: http://www.
sbaonline.sba.gov/contractingopportunities/officials/size/
table/index.html.
3.1 Regulation of Professional Practice
65
BACKGROUNDER
PA R T 1 : T H E P R O F E S S I O N
MANDAT ORY C ONT INUIN G E D UCATIO N
Co r neli us R. DuB ois , FAIA
A majority of licensing jurisdictions now include requirements
for mandatory continuing education (MCE) as a condition for
renewal of a license to practice architecture. As with licensing laws in general, the requirements for MCE vary, and it is
up to the licensee to track and comply with those in each
jurisdiction.
T HE R AT I ONA L E F OR M A N D AT ORY C ON T INUING
E D U C AT I ON
Architects live and practice in a rapidly changing world. The
body of knowledge required for the practice of architecture
is always changing.
The licensing exam (the Architect Registration Exam®, or
ARE®) evolves periodically in a process designed to keep
pace with these changes. The goal is to see that individuals
are examined on the knowledge and skills that have been
determined to be necessary for practice. This process, called
the Practice Analysis, is undertaken by the National Council
of Architectural Registration Boards (NCARB) every five to
seven years. The principal outcomes of the process are to
define the specifications for the ARE®, inform the Intern Development Program (IDP), and guide NCARB’s response to the
2013 National Architectural Accrediting Board (NAAB)
Accreditation Review Conference (ARC). The results of the
Practice Analysis are also used to understand the continuing
education needs of architects and to inform NCARB’s continuing education policies.
While the most direct rationale for MCE is to provide a
means for architects to demonstrate that they have kept
abreast of changes in the knowledge required to practice,
legislative discussion often requires more specificity. Architects and the registration boards that grant licenses to practice architecture have recognized that many architects
practicing today were originally qualified through earlier
versions of the ARE that did not include all of the content that
is in the most current version of the exam. Continuing education requirements can thus be viewed as a means to attempt
to see that all architects in practice have demonstrated that
they have met the same standards for knowledge and skills
that apply to new licensees taking the exam today.
Mandatory Continuing Education is a practical and economical alternative to requiring practitioners to take the ARE
all over again or for each state to devise its own psychometrically valid and legally defensible supplemental exam.
As is found in many professions, the basic rationale for MCE
requirements is therefore one of simple logic and acceptance
of the fact that current practice requires broader and different
knowledge than it may have in the past. Materials, systems,
equipment, construction methods, building codes, and
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Career Development
technology change. Continuing education requirements are
in place to help architects keep pace with those changes.
MCE Cycles
Registration boards today follow different schedules and
cycles for license renewal, some of which tie to a calendar
year while others do not. A cycle may tie to general regulatory administrative practice within a state and may thus be
more difficult to change. A resolution passed at the NCARB
2011 Annual Meeting established the calendar year as the
recommended period for MCE reporting, and NCARB is
actively encouraging its member registration boards to
amend their rules and statutes for greater consistency. Achieving this ambitious goal will take time because some of the
changes in each jurisdiction will have to move through the
legislative process.
C ATEGOR IES OF MANDATORY C ON TI NU I NG
EDUC ATION
The U.S. licensing jurisdictions (the 50 states, the District of
Columbia, Guam, Puerto Rico, and the U.S. Virgin Islands)
have different requirements for the types of MCE that qualify
for credit. Generally, these fall into four categories:
•
•
•
•
Health, Safety, and Welfare (HSW)
Sustainable Design (SD)
Accessibility (ADA)
Other (Non-HSW)
Many jurisdictions require only HSW subjects. The rationale for this is tied directly to the reason that architects are
licensed to practice in the first place—to protect the health,
safety, and welfare of the public and to provide for consumer
protection.
The specific categories allowed for HSW credits are usually defined in the rules of each board. These typically
include sessions and seminars that have been jointly qualified
for Continuing Education Hours (CEHs) or Learning Units
(LUs) by the AIA and NCARB for HSW content. But there are
also categories that may not be allowed, such as service on
a professional, community, or municipal board or committee.
Self-reporting of HSW MCE activities is usually not allowed.
Some jurisdictions offer a form of comity, so that if an
individual has met the MCE requirements of another state
they are deemed to have met this state’s requirements as well.
As boards work to align their procedures and implement
NCARB’s new model regulations for MCE, requirements will
become more consistent across the country.
C ONTINUING EDUC ATION TER MINOL OG Y
There is a potentially confusing lack of consistency in the
terminology applied to continuing education hours. The AIA
uses LUs (Learning Units) in its Continuing Education System,
ACCE P TA B L E PR OV I D E R S
Generally, course content from the following provider organizations will be approved, with each jurisdiction having its
own specific requirements:
• AIA Components, through AIA/CES (Continuing Education System)
• AIA/CES program registered providers
• NCARB (Monographs)
• Some state boards offer a limited number of their own
courses.
• Registered providers to the state registration boards
• Institutions offering NAAB-accredited architecture degree
programs
• State and local governments and agencies
• Many other organizations, such as the U.S. Green Building Council (USGBC), Urban Land Institute (ULI), and
American Planning Association (APA)
D O CUM E NTAT I ON OF M C E
Architects must keep thorough records as they complete continuing education activities. This is especially important when
an architect is licensed in multiple jurisdictions, each with a
different set of requirements. It is often critical to obtain a
certificate from the course or session provider—preferably as
soon as possible after the course has been completed. Some
online courses allow one to take a quiz, and a certificate is
then generated immediately upon passing the quiz. Most
jurisdictions, when auditing registrants, require submittal of
certificates of completion for all continuing education units
claimed for renewal of a license.
Either the certificate or some other documentation of
the course should indicate the “learning objectives” of the
program. If, for some reason, this has not been provided,
the architect should prepare a record that notes learning
objectives for all continuing education. Some states require
additional documentation, and this may be on a form that
is unique to that jurisdiction. For instance, an architect
may be required to describe how the course met learning
objectives and how this is likely to benefi t his or her
practice.
Most states verify conformance with MCE by auditing a
certain percentage of the registrants for license renewal.
Even if the odds of being audited in a given jurisdiction might
be statistically small, the consequences of being unable to
validate and verify one’s continuing education record with
the proper documentation are serious. If an audit indicates
that a registrant has failed to demonstrate an adequate number of the required units or hours, or if that documentation is
incomplete, the registrant may be allowed a grace period in
which to either provide the appropriate documentation or
complete additional continuing education courses to meet the
requirements.
PA R T 1 : T H E P R O F E S S I O N
while NCARB, many licensing jurisdictions, and some
providers use CEHs (Continuing Education Hours). Dual
acronyms for the same thing is one matter; however, some
jurisdictions, employing the customs of regulatory agencies
that may be administering continuing education
requirements for multiple professions, use other terms, such
as PDUs (Professional Development Units) or PDHs
(Professional Development Hours). Essentially, these all
refer to the same thing, where one credit hour is acquired
during an activity (seminar or self-study) of at least
50 minutes.
S TATE R EQUIR EMENTS F OR MC E AN D TH E A I A
C ONTINUING EDUC ATION S YS TEM
Participation in the AIA’s Continuing Education System (AIA/
CES) is a major benefit to an architect complying with the
MCE requirements of licensing jurisdictions. Some jurisdictions allow submittal of the AIA transcript as verification of
CEH. Where this is the case, the transcript must be sorted for
the correct time period and for HSW courses where these are
the only credits allowed.
Even where the transcript cannot be attached and sent
along with the application form, the individual can print
out his or her transcript and then transcribe the information
onto the form required by the jurisdiction. As greater uniformity is achieved, more jurisdictions may allow the AIA
transcript to be used directly, but for the immediate future
an architect should plan on completing separate paperwork on the often unique forms provided by each
jurisdiction.
As long as calendar cycles for license renewal and documentation for continuing education vary from state to state,
architects may have to strategize the timing of their learning
activities so that adequate credits show up in the right “window” for a particular jurisdiction. Some jurisdictions, committed for now to renewal cycles that set to a midyear date such
as July 1, have implemented cycles for documentation of
MCE that are tied to the calendar year, thus making it much
easier on registrants who are also tracking their AIA membership requirements for CEUs.
Many architects belong to other associations or hold certifications that have their own continuing education requirements. Often, a course that qualifies for one program will
also fulfill those for another.
C ONC LUS ION
Requirements for Mandatory Continuing Education are
rapidly evolving, and more jurisdictions can be expected
to include requirements in their statutes and rules. MCE is
a natural manifestation of an increased emphasis in our
society and the profession on life-long learning and should
be valued accordingly. Architects should see continuing
education requirements as an opportunity to enrich their
professional knowledge and to better serve clients and the
public.
3.1 Regulation of Professional Practice
67
▶ See AIA Continuing Education
PA R T 1 : T H E P R O F E S S I O N
System (3.4) for further discussion
of AIA/CES.
3.2
Intern Development
Harry M. Falconer Jr., AIA, NCARB, and Catherine Berg
Completing a period of professional internship is essential to an architect’s
development—and is an important component of the licensure process. Gaining
practical experience under the guidance of experienced professionals is
invaluable to aspiring architects and prepares them for independent practice.
TH E E XP E R I E N C E C O MP O N E N T O F LI C E N S U R E
Only individuals who are
licensed by one of the 54
architectural registration boards
may call themselves architects.
W H O IS AN IN T ERN?
The term “intern” refers to any
individual in the process of
satisfying a registration board’s
experience requirement. This
includes anyone not registered to
practice architecture in a U.S.
jurisdiction, graduates from
professional degree programs
accredited by the National
Architectural Accrediting Board
(NAAB), architecture students
who acquire acceptable
experience prior to graduation,
and other qualified individuals
identified by a registration board.
Architects are responsible for the health, safety, and welfare of the people who live
or work in the buildings and environments they design. It is because of this significant responsibility that an individual must be licensed in order to practice architecture or use the title of architect. Licensure signifies to the public that an individual
has completed the education, experience, and examination necessary to practice
architecture.
Gaining experience in the profession is an essential step on the path to become an
architect (see Figure 3.1). It is a key component of licensure and offers an important
opportunity to develop the knowledge and practical skills necessary to practice architecture.
The Intern Development Program (IDP)
Through the IDP, interns learn about the daily realities of architecture practice, acquire
comprehensive experience in basic practice areas, explore specialized areas of practice,
develop professional judgment, and refine their career goals.
Upon completion of the program, an intern should essentially be able to complete the design of a building from start to finish and manage the project through all
phases, from programming to project closeout. This means having the ability to
fulfill tasks such as performing site analysis, establishing project cost and feasibility,
preparing schematic design documents, applying sustainable design principles, performing code analysis, and preparing construction documents. At the completion of
the IDP process, interns should be able to demonstrate knowledge and skills in a
wide range of areas, such as basic engineering principles, site design, constructability,
and contract negotiation. These are just some of the many tasks and knowledge/skills
that the IDP identifies as essential for the independent practice of architecture as a
licensed professional.
▶ Regulation of Professional
MAN Y OP P O RTU N I TI E S TO E A R N E XP E R I E N C E
Practice (3.1) and the
backgrounders on the Architect
Registration Examination and
NCARB Certification (3.2) further
discuss the process of achieving
licensure.
The IDP is designed with both rigor and flexibility in mind, identifying the experience
interns will need and providing a range of opportunities to earn the required experience. It’s the nature of the profession that no two interns’ experiences will be exactly
alike; however, upon completion of the IDP, all interns should possess the knowledge
and skills required for the independent practice of architecture as a licensed professional.
Harry M. Falconer Jr. is director of internship and education for the National Council of
Architectural Registration Boards (NCARB). He joined the Council in 2006 and assumed his
current position in 2012. He is licensed to practice in Virginia and holds the NCARB Certificate. Catherine Berg is senior writer of the Communications Directorate for NCARB.
68
Career Development
ED
U
CA
TI
O
PA R T 1 : T H E P R O F E S S I O N
N
EXPERIENCE
Establish
Record
Document
Eligibility
Identify Supervisor/
Choose Mentor(s)
Report
Experience
Licensure
NCARB
Certification
The Intern Development Program
N
O
I
AT
IN
AM
EX
Kenji Bohlin, NCARB
FIGURE 3.1 Path to Licensure: Experience Requirement
Learning First-Hand from Architects
All interns must spend a period of their experience in an architecture firm, working
under the supervision of an architect. Learning the practice of architecture directly
from architects is integral to the development of emerging professionals.
The collaborative and mentoring relationship between intern and supervisor provides a structured environment for making the transition from school to the profession.
Working in a firm under an experienced architect gives interns a grounding in the
fundamentals, opportunities to exercise critical thinking, and the chance to experience
firsthand how the business of architecture works.
PATH T O L ICEN SURE
Along the path to licensure, there are a number of choices
available to aspiring architects—from selecting a professional
degree program, to determining how and where to fulfill
internship requirements, to deciding when to take the
examination and where to seek initial licensure. Each of the
key components of licensure—education, experience, and
examination—plays a critical role in an architect’s
development, and proactively planning for how to satisfy
requirements is an important way to take charge of one’s
career and make the most of each experience along the way.
The architectural registration board in each jurisdiction
controls licensure and determines the requirements for initial
and reciprocal registration in that jurisdiction. Reciprocity is
when a registered architect in one jurisdiction applies for
registration in another jurisdiction by presenting
documentation that he or she meets that jurisdiction’s
registration requirements. Checking with an individual
board is the best way to verify current requirements.
E DU CAT I ON
In most jurisdictions, earning a professional degree from a
program accredited by the National Architectural Accrediting
Board (NAAB) is the most accepted way—and often the only
way—to satisfy the education requirement for licensure.
EX PER IENC E
All registration boards require a minimum period of
internship in order to fulfill experience requirements for
licensure. The Intern Development Program (IDP) is required
in most jurisdictions and identifies the experience needed
for the independent practice of architecture.
EX AMINATION
The Architect Registration Examination® (ARE®) is required
in all 54 U.S. jurisdictions and assesses whether a
candidate has the knowledge, skills, and ability required
for competent practice upon initial licensure. The ARE
evaluates the skills that are necessary for protecting the
public health, safety, and welfare.
A jurisdiction’s architectural registration board
ultimately determines whether a candidate has met the
requirements for licensure. In addition to the education,
experience, and examination requirements, there may be
other jurisdictional requirements that must be met in order
to complete the licensure process.
Once architects have achieved licensure, they may
earn NCARB certification, which helps facilitate reciprocal
registration in other jurisdictions.
3.2 Intern Development
69
Interns looking to gain international experience may also earn a portion of their
IDP experience working abroad for an architecture firm, under the supervision of an
architect who is credentialed by a foreign authority.
PA R T 1 : T H E P R O F E S S I O N
Beyond Traditional Practice
Architects can be found in a wide range of professional environments where their skill
sets are in demand. In recognition of the opportunities to go beyond traditional practice, there are additional professional settings in which interns can earn experience:
• Working under registered professionals in related professions, such as landscape
architecture or engineering
• Working under the direct supervision of a licensed architect in an organization
that’s not engaged in the practice of architecture, such as a facilities management
company
Academic Internships
Interns also earn IDP credit through qualifying academic internships, giving them a
jump start in fulfilling program requirements while still in school. Any internship that
is integrated into an academic program, whether it be as a requirement or as an elective, is considered an academic internship.
S U PPL EM ENTAL EXPERIEN CE
The IDP specifies a variety of ways interns can earn
experience outside of a traditional setting.
Taking advantage of options to earn supplemental
experience demonstrates an intern’s initiative and
proactive approach to augmenting his or her
professional development. Some activities can be
completed under the supervision of mentors, providing
an invaluable opportunity to deepen relationships and to
broaden professional networks. Supplemental
experiences like pro bono Leadership and Service, and
service to Community-based Design Centers, offer interns
the opportunity to engage the greater community. In
addition, the work that results from experiences such as
design competitions can contribute toward the intern’s
professional portfolio.
Supplemental experience options include interactive,
online, and self-directed activities. Unless otherwise noted,
nearly all of these experiences can be completed whether
or not the intern is employed, and depending on the
opportunity, will earn credit for either core or elective
hours.
•
•
•
INT E RA C T I V E E X PE R I E N C E
• Leadership and service. Interns need to earn a minimum
number of hours through pro bono leadership and
service in support of an organized activity or a specific
organization. The experience may be design industry–
related (e.g., Habitat for Humanity); education-related
(e.g., English for Speakers of Other Languages [ESOL]
teacher, critic at design review); related to strengthening
70
Career Development
•
of the community (e.g., soup kitchens, civic
participation); or related to a regulatory or professional
organization (e.g., volunteering for the AIA or the
Green Building Certification Institute).
Site visit with mentor. Interns can earn core hours by
visiting construction sites with their mentors. Site visits
allow interns to see the progress of a job over time and
engage in a dialogue with their mentors. The
experience is meant to be interactive, with
opportunities to discuss how issues related to the
specific project were resolved and why particular
decisions were made.
Community-based design center or collaborative. Interns
can earn core hours in most IDP experience areas for
volunteer service in support of a preapproved
charitable organization. The work must be in support of
“building” or “planning” projects. NCARB provides a
list on its website of organizations it currently
recognizes.
Design competitions. Under the supervision of a mentor,
interns can earn core hours for completion and
submission of a design competition entry for a
“building” or “planning” project. Entering design
competitions creates regular opportunities for the intern
and mentor to interact, and offers a great way to earn
core IDP hours across all related IDP experience areas.
Teaching or research employment. Elective hours may
be earned through teaching or research employment in
a NAAB-accredited program under the direct
supervision of a person experienced in the activity.
O NL INE E X PE R I E N C E
• Emerging Professional’s Companion (EPC) activities.
The EPC was jointly developed by the AIA and NCARB
and provides free, web-based experience opportunities
outside of the studio or work environment. EPC chapters
are aligned with IDP experience areas and include
activities that are identified as qualifying for either core
or elective credit.
• NCARB’s Professional Conduct monograph. Interns can
earn core hours by reading NCARB monographs and
passing the related quizzes. NCARB monographs are
written by experts in their fields and explore topics
relevant to architecture practice. Interns can download
PDFs of the monographs at no charge through their
NCARB Record.
PA R T 1 : T H E P R O F E S S I O N
• Design- or construction-related employment. Under the
direct supervision of a person experienced in the
activity (e.g., design of interior space; engaging in
building construction; working for a general contractor),
interns can earn credit for employment in design- or
construction-related activities.
S ELF -DIR EC TED EX PER IENC E
• AIA Continuing Education System. Interns can earn
experience by completing AIA-approved continuing
education resources and programs. One AIA learning
unit equals one IDP elective hour.
• Green Building Certification Institute (GBCI) LEED AP
credential. Interns can earn elective hours by obtaining
the GBCI LEED AP credential (with or without
specialization).
• Construction Specifications Institute (CSI) Certification
Programs. Interns can earn experience for completing
any of these CSI certification programs: CSI Certified
Construction Documents Technologist; CSI Certified
Construction Specifier (CCS); or CSI Certified
Construction Contract Administrator.
I D P RE Q UI REMEN TS
The IDP has a set of requirements that all interns must satisfy in order to document
completion of the program. The IDP Guidelines provide a comprehensive overview of
all IDP requirements, including information relevant for those serving as supervisors
or mentors for interns.
NCARB Record
Establishing an NCARB Record is essential for documenting the IDP. Throughout an
architect’s career, the NCARB Record serves as a detailed, verified record of his or her
education, experience, and examination used to establish qualification for licensure and
certification. Interns interested in earning NCARB certification, which facilitates
reciprocal registration, can save money simply by keeping their NCARB Record active
while they complete the steps for licensure.
Eligibility
To earn IDP experience, interns must establish an eligibility date, which can be based
on either education or experience. In some cases, students may be able to begin documenting IDP experience after high school graduation.
Experience Settings
Interns earn IDP experience hours in “experience settings.” The experience setting is
defined by the type of organization, the work performed, and who verifies the experience. Interns can earn the required experience across a range of settings, and a number
of experience opportunities can be completed whether or not employed.
Super vision
Interns work under the direct supervision of an IDP supervisor who is responsible for
verifying the intern’s experience. “Direct supervision” can include supervising interns
through a mix of personal contact and remote communication; and in certain settings,
supervisors need only be licensed in any U.S. jurisdiction (not necessarily where their
3.2 Intern Development
71
office is located). In most experience settings, the supervisor must be a licensed architect; however, in certain settings, a professional from another discipline, such as landscape architecture, engineering, or construction, may act as an IDP supervisor.
PA R T 1 : T H E P R O F E S S I O N
Experience Categories and Areas
The required experience categories and areas in which an intern must gain experience
have been derived from the NCARB Practice Analysis of Architecture. Each experience
area is weighted based on its importance to the independent practice of architecture.
The distribution of hourly requirements across the experience areas is designed to
align the IDP with current practice.
Repor ting
Interns report their experience hours through an online reporting system. To help
facilitate more accurate reporting, interns are required to submit their experience in
reporting periods of no longer than six months, and to file the reports within two
months of completing the reporting period. Reporting at regular intervals helps both
the intern and the supervisor better plan, track, and discuss the intern’s progress
through the IDP.
H IS TORY OF T HE IDP
In 1976, NCARB introduced the Intern Development
Program (IDP) after working with the American Institute of
Architects (AIA) to develop a more structured internship for
emerging professionals, to ensure they were exposed to
the necessary areas of practice. Administered by NCARB,
the program was increasingly adopted by jurisdictions as
the sole or chief means to satisfy their experience
requirement for licensure.
In order to keep pace with the profession, NCARB
makes any updates to the program based on empirically
derived data. Since 2005, NCARB has conducted several
studies to inform the IDP and align it with current practice.
Most significant among them is the NCARB Practice
Analysis of Architecture, which is conducted by NCARB
every five to seven years. The Practice Analysis surveys the
profession to identify the tasks and knowledge/skills that
are important for recently licensed architects, practicing
independently, to safeguard the health, safety, and welfare
of the public.
NCARB and the AIA continue to work together in
many ways to support the IDP and emerging
professionals. The IDP Advisory Committee (IDPAC) was
created by NCARB and the AIA to serve in an advisory
capacity on matters related to the IDP. It was formed to
bring representatives of appropriate architectural
stakeholder organizations together to discuss issues of
mutual interest and concern regarding the Intern
Development Program. The Committee coordinates the
internship-related activities between and among NCARB
and the AIA, the Association of Collegiate Schools of
Architecture (ACSA), the American Institute of
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Career Development
Architecture Students (AIAS), and the Society for Design
Administration (SDA). Reports and recommendations
made on behalf of the IDPAC are advisory to the Boards
of Directors of both AIA and NCARB. Results of its
deliberations provide feedback to the participatory
organizations to increase the effectiveness of all aspects
of the IDP.
TH E NATIONAL C OUNC IL OF AR C H I TE CTU RA L
R EGIS TR ATION B OAR DS (NC AR B )
NCARB, a nonprofit organization, is a federation of the
architectural licensing boards in each of the 50 states,
the District of Columbia, Guam, Puerto Rico, and the
U.S. Virgin Islands. These 54 boards constitute NCARB’s
membership. NCARB protects the public health,
safety, and welfare by leading the regulation of the
practice of architecture through the development and
application of standards for licensure and credentialing
of architects. NCARB is responsible for establishing,
interpreting, and enforcing national standards for
architectural licensure.
NCARB has a variety of roles in the licensure process,
including the development and administration of the Intern
Development Program (IDP), the Architect Registration
Examination® (ARE®), and NCARB certification, which
facilitates reciprocal registration. A range of services is
offered by NCARB to support emerging professionals as
they progress along the path to licensure. While there are
fees in place to help cover the cost of providing these
services, NCARB’s fee structure takes into account the
• Compiling, evaluating, and securely storing a
comprehensive and confidential Record of credentials to
assist the intern’s path to licensure
• Developing and administering the IDP
• Developing and administering the ARE
• Creating tools to assist interns in completing the
internship and examination process
• Transmitting an intern’s Record in support of
examination or initial registration
• Visiting AIA chapters and firms across the country to
support interns on the path toward licensure and
certification
• Engaging interns on relevant NCARB committees to
contribute to the process of creating NCARB standards
for registration
• Supporting the IDP Coordinator Program
PA R T 1 : T H E P R O F E S S I O N
realities of those just getting started in the profession. The
list of services includes the following:
P ROFE S SI ON AL N ETWORK OF RE S O U R C E S
IDP Super visors
IDP supervisors play a vital role in the profession by supporting intern development
and supervising the intern’s progress through the IDP. By offering their knowledge,
guidance, and support to emerging professionals, architects add to the long-term quality and efficacy of the profession.
Serving as an IDP supervisor also contributes to the architect’s own professional
growth through development of mentoring, leadership, and communication skills.
While architects have much to pass on to interns, interns bring a diverse set of skills,
along with fresh ideas and perspective, to the table as well.
IDP supervisors have direct supervision over the work performed by the intern,
foster a professional relationship that is grounded in direct professional association,
and verify the intern’s experience. In recognition of the global and increasingly “virtual” ways that business is conducted today, “direct supervision” can include supervising
interns through a mix of personal contact and remote communication (e.g., e-mail,
online markups, webinars, and Internet).
IDP supervisors:
• Supervise the intern on a daily basis.
• Have control over the work performed.
• Provide reasonable opportunities for the intern to gain the required IDP experience.
• Regularly assess and provide timely feedback on the quality of the intern’s work.
• Periodically certify the intern’s experience reports, and discuss career goals and
overall progress in the IDP.
In most cases, an IDP supervisor must be an architect registered in a U.S. or Canadian jurisdiction; in certain experience settings, a professional from another discipline
may act as a supervisor, such as a registered engineer, landscape architect, or construction project manager. For complete details regarding supervisor roles and requirements, see the NCARB IDP Guidelines.
A range of resources and support are available to IDP supervisors, including but
not limited to regular communications that share important program updates as well
as best practices; in-person outreach events hosted by firms and local AIA chapters; and
the IDP Firm Awards, sponsored by AIA and NCARB, which honor firms that foster a
positive internship environment.
IDP Mentors
A mentor is a loyal adviser, teacher, or coach. Architects looking for a way to give back
to their profession and share their expertise with emerging professionals may wish to
become an IDP mentor. It’s an important opportunity to shape and develop future
practitioners—and often, mentoring provides professional growth and unexpected
rewards for the mentor as well, as the learning exchange can work in both directions.
3.2 Intern Development
73
PA R T 1 : T H E P R O F E S S I O N
Interns entering the IDP are encouraged to identify mentors who can offer professional guidance and support as they progress through the program. Mentors should be
professionals whom the intern can count on to make a long-term commitment to his
or her professional growth.
To serve as a mentor for the IDP, an architect must be licensed to practice in a U.S.
or Canadian jurisdiction; however, the mentor does not have to be registered in the
jurisdiction where the intern is located.
While the IDP supervisor is responsible for verifying the majority of the intern’s
experience, there are several types of supplemental experience opportunities that may
be verified by a mentor. These include:
•
•
•
•
Participating in design competitions
Conducting visits to construction sites with the mentor
Completion of AIA Emerging Professionals Companion (EPC) activities
Performance of pro bono leadership and service
IDP Coordinators
▶ See the backgrounder on the
IDP Coordinator Program (3.5) to
learn more about becoming an
IDP coordinator.
The IDP Coordinators Program provides an extensive resource network and facilitates
the flow of information to emerging professionals. IDP coordinators are committed to
the profession, many serving voluntarily as a point of contact and professional resource
for current and future interns. These individuals often have the opportunity to be the
first introduction to the licensure process; as such, they play a significant role in educating and guiding interns along the path to licensure. While responsibilities vary depending on their specific role, all coordinator positions share a common responsibility to
serve as a knowledgeable information resource for interns on the required components
of licensure (education, experience, and examination).
IDP coordinator positions include the following:
• Educator coordinators serve as on-campus resources, interacting with students on a
regular basis and helping provide the first introduction to the IDP and the licensure
process. They assist students in the documentation of IDP eligibility and serve as
information resources on the key components of licensure. Educator coordinators
will often organize events that help expose students to the licensure process, such
as inviting representatives from NCARB to conduct presentations on earning IDP
experience, taking the ARE, and applying for licensure and certification.
• State coordinators are volunteers who serve as knowledgeable conduits familiar with
both the IDP and the licensure process and can provide emerging professionals with
the information necessary for the transition from internship to licensure within the
context of state regulatory requirements, reciprocity, and NCARB certification. Upto-date on the latest information about the IDP, state coordinators act as resources
for interns and the larger architectural community in their states and often give
presentations at schools or AIA component events.
• Auxiliary coordinators are self-appointed volunteers with a vested interest in pursuing
licensure or encouraging others to do so. They are often associated with firms, local
AIA components, state boards, or AIAS chapters. Many architecture firms have an
auxiliary coordinator who serves as the in-house expert on all things IDP. In some
cases, an auxiliary coordinator may be an intern who has opted to lead a group of
coworkers to seek their license.
All coordinators receive resources and training provided by both NCARB and the
AIA. Training materials as well as online and in-person training opportunities help
coordinators stay current with the latest information about the IDP and other required
components of licensure, and help them learn how to serve as a guide and mentor to
students and interns. The NCARB website has an IDP coordinators page that provides
a full position description for each type of coordinator role, as well as contact information for state and educator coordinators.
74
Career Development
Firms
PA R T 1 : T H E P R O F E S S I O N
The IDP is most beneficial to the profession when both interns and firms are fully
engaged in the process. A forward-thinking firm culture recognizes the value of investing in an intern’s professional development and understands that doing so offers both
short- and long-term benefits to the firm, its clients, and ultimately the profession.
While both supervisors and mentors play a critical role in intern development, the
intern’s firm can also significantly influence the internship experience.
Firms that encourage interns to become licensed and that support them through
the process often find it easier to locate and hire new talent—and to keep valuable,
trained employees. They view support of interns as an investment in the organization’s
future. When interns are embraced by the firm’s culture, they are much more likely to
be engaged in its mission and support its success. The creativity and skills that interns
bring to the table can influence success as a team and firm both now and in the future.
Some firms also believe that having more licensed professionals on staff can make the
firm more marketable to potential clients.
No matter the size of the organization, focus of practice, or location, there are many
ways for firms to encourage and support interns on their path to licensure. Organizations that are supportive of their staff taking on supervisory roles with interns often find
rewards such as improved morale, a broader perspective, and a deeper connection to the
people who are the future of the profession. All levels of experience can benefit from the
information exchange that takes place when interns are an integral part of the firm.
To recognize and honor firms that foster a positive internship environment,
NCARB and AIA cosponsor the IDP Firm Awards:
• The IDP Firm Award celebrates those firms that, by their active mentoring and engagement with interns, demonstrate a dedication to the field and its future. Twelve criteria
across five categories form the basis of the award, and span all aspects of the internship
experience. The five categories include mentoring, supervising, training opportunities,
commitment to the IDP, and support of the ARE. A firm that demonstrates its commitment to each category establishes itself as a steward on the path to licensure.
• The IDP Outstanding Firm Award is awarded to those firms that, in addition to satisfying the five categories necessary for qualification for the IDP Firm Award, show an
unsurpassed and proactive approach to the development of the intern experience.
Organizations engaged in exceptional activities in the architecture community and in
the establishment of a positive firm culture are encouraged to apply for this distinction.
WAYS FOR FIRM S T O SUPPORT IN TE RN S : RE A L- WO RLD ID E A S THAT WO RK
• Appoint an in-house IDP auxiliary coordinator to
assist staff and interns with their licensure path needs.
Coordinators can provide information and training,
help monitor intern progress, and even offer
guidance to supervisors and mentors on how to fulfill
their roles.
• Have a structured internship policy in place that
ensures interns are exposed to as many areas of
architecture practice as possible, especially those
areas that may not be part of an intern’s everyday
role.
• Be supportive of staff who take on supervisory or
mentoring roles with interns. Ensure they understand the
IDP and the level of support and guidance they will
need to provide interns.
• Offer CE and other training opportunities. Some firms
provide scholarships to fund continuing education or set
up “lunch and learn” meetings; others send interns to
conferences for professional development.
• Encourage staff to form networking and support groups
with other interns in the office. Some firms appoint a
“buddy” for incoming interns who can serve as an
internal expert and resource as the intern makes the
transition from education to internship.
• Assign mentors who will meet regularly with interns to
see how they are progressing in the IDP and toward
licensure.
• Encourage interns to ask questions and take advantage
of learning opportunities, and provide ways for them to
grow and stretch their skills.
3.2 Intern Development
75
H OW T WO FIRM S SUPPORT IN TE RN S A N D THE ID P
PA R T 1 : T H E P R O F E S S I O N
Two winners of the IDP Outstanding Firm Award discuss their
commitment to the IDP and intern development.
TABLE 3.1 Sample Skills Matrix
Employee
S E AY SE AY & L I T C H F I E L D , M ON T G OMERY, AL
Seay Seay & Litchfield (SS&L) understands the enormous
learning curve that young professionals face as they leave the
confines of architecture education and embark on a career in
the profession. To help interns successfully make the transition,
SS&L developed a multifaceted system of mentorship that fosters professional growth, personal growth, and office camaraderie. Each intern is assigned an in-office mentor who offers
guidance and provides regular feedback, and is also encouraged to have official mentors outside the firm. The firm’s culture promotes an environment in which all members of the
firm are actively engaged in the growth of its interns.
Beginning on day one of employment, interns are tasked
to a project currently under construction that is being supervised by an upper-level member of the firm. Interns at SS&L
typically hold three to five project management roles during the
time required to complete the IDP. These roles are comprehensive, beginning with contract negotiation and ending with construction administration through completion of a built project.
SS&L’s intern development also includes a “lunch and
learn” seminar series, participation in design charrettes,
formal supplemental education, and regular project management forums. Interns are encouraged to join civic groups in
the community, and they also have opportunities to give inhouse presentations on their work.
Pride in the successful fulfillment of their projects creates leaders with a strong backbone for creative and
responsible architecture.
—Jim H. Seay Jr., AIA, LEED AP, firm owner and
principal-in-charge, SS&L
From day one, we were involved in a range
of projects in all phases of development. Through
the vast arrays of experiences provided to us,
and the mentoring relationships that the firm fosters,
our talents were nurtured, and in the end we found
ourselves fully prepared to practice architecture.
—former SS&L interns
C L ARK NE X SE N , N OR F OL K, VA
Clark Nexsen places a great deal of importance on mentoring. The firm runs an in-house mentoring program that’s part
of its operating structure and open to all staff—interns are
especially encouraged to participate. Feeding into the mentoring program is a “skills matrix” of core competencies that
interns complete when they start at the firm (Table 3.1). The
matrix identifies areas of proficiency and necessary/desired
development; it is used in performance reviews and referenced during project assignments to help identify development opportunities.
76
Career Development
Construction Documents
Doug Karla Jim
Project Phase Kickoff
C
A
B
Dimensioned Floor Plans
C
A
B
Enlarged Floor Plans
C
A
B
Plan Details
C
A
B
Fire Safety Plans
C
A
B
Roof Details
C
A
B
Reflected Ceiling Plans
C
A
B
Develop Specifications
C
A
C
Review Mechanical Equipment Layouts
D
A
C
Invoicing
–
B
D
Contract Modifications
–
B
D
Obtain Construction Documents Approval
–
B
–
Code Review—Final Check
–
B
–
Final Construction Cost Estimate
–
C
–
A = Mastered skills and able to teach
B = Able to complete without oversight
C = Can complete task with oversight
D = Identified skill goal
– = Little to no experience/skill with task
Source: Clark Nexsen.
An IDP auxiliary coordinator on staff functions as a firmwide resource, ensuring that all supervisors are knowledgeable about IDP requirements and meeting with interns
regularly to provide important program information and guidance. The Clark Nexsen Academy offers a wide range of
educational activities, including in-house continuing education events (e.g., “lunch and learns,” presentations by inhouse or external experts) and field trips to projects under
construction and completed by its firm and others.
Clark Nexsen supports interns’ progress toward licensure
in several ways. It covers NCARB Record fees through the
completion of the ARE, and thereafter pays all fees related to
professional registration, including NCARB certification. For
interns preparing to take the ARE, the firm helps facilitate and
organize study events, provides study resources, covers the
full cost of all ARE divisions passed, and offers paid time off
to interns to take ARE divisions.
It was evident during my time completing the IDP that
Clark Nexsen fundamentally believed that the continual development of its interns was mutually beneficial for both the firm as well as the interns. This
approach created many opportunities to gain exposure and experience from the wide variety of projects completed within our office, and rapidly
accelerated my progression as an architect.
—former Clark Nexsen intern (now architect)
Interns
Interns have a role to play in their own success as well. Taking a proactive approach to
internship can include:
• Taking time to review and understand the IDP Guidelines.
• Understanding jurisdictional requirements for licensure and reciprocity.
• Carefully identifying a supervisor and choosing mentor(s) who are committed to
providing guidance and support along the path to licensure.
• Choosing employment with organizations that will provide a supportive internship
environment—speaking to other interns currently employed in the firm is a good
way to find out whether it provides interns with opportunities and a well-rounded
experience.
• Making a plan for how to complete the IDP and stay on track toward licensure.
• Regularly documenting IDP experience and reviewing progress with supervisors
and mentors.
• Self-advocating with supervisors or mentors if having trouble gaining experience in
a specific area.
• Asking questions, and taking advantage of any and all learning and development
opportunities, both inside and outside the organization.
Mentoring (8.4) further addresses
the importance of training,
mentoring, and appraisal
programs that support a firm’s
strategic plans.
The internship experience can also be greatly enhanced by peer-to-peer support
among interns. Interns can serve as both a support and a valuable information resource
to one another as they progress through the IDP and toward licensure. When there are
multiple interns at a firm, they can join together and form a networking and support
group. Branching out into the larger community by attending local or regional AIA
component meetings or other architecture-related events offers opportunities to network and connect with other interns and professionals. Interns can also join together
to enter design competitions, or do site visits with a mentor, to earn supplemental IDP
experience.
ONE IN T ERN’S PAT H T HROUGH THE ID P
Anthony Laney, an intern at Rockefeller Partners Architects,
Inc. (RPA) in El Segundo, CA, talks about his experience completing the IDP.
WHAT FA C T OR S D I D Y OU C ON S I D ER WH EN
P L ANNI NG F OR Y OU R I D P E X PE R IEN C E?
Aware of the diverse range of experience areas necessary
for the completion of the IDP, I sought employment with a
handful of firms that assumed responsibility for projects
from inception through construction. I considered the company size because small firms are often more nimble and
require their employees to excel in a wide range of
responsibilities. In an effort to thoroughly comprehend topics such as site analysis and construction observation, I
pursued fi rms that invested primarily in local projects.
Lastly, during my interviews, I sought to discern the priority
of the IDP process within the culture of the firm. My deliberate decision to work at a small, local, full-service architecture firm significantly influenced the entirety of my IDP
experience.
WH EN AND WH ER E H AV E YOU F ULF I L L E D YOUR
IDP EX PER IENC E R EQUIR EMENTS ?
During the past three and a half years, I’ve fulfilled my IDP
requirements at RPA. I was hired immediately after graduation from architecture school and have currently completed
5,538 of the 5,600 hours required to complete the IDP experience requirements.
H OW H AS YOUR F IR M S UPPORTED YOU A S
AN INTER N?
In the most fundamental sense, RPA has invested in and prioritized my learning experience. Rather than simply building
on the skills I developed in architecture school, the firm has
trained me in areas that were completely new to me—
challenging me beyond the scope of digital design, and inviting me to learn about the intricacies and complexities of
project management, construction science, and business
leadership. RPA allowed me to shadow the firm principals in
a wide spectrum of tasks. Although I am their most junior staff
(continued)
3.2 Intern Development
77
PA R T 1 : T H E P R O F E S S I O N
▶ Professional Development and
PA R T 1 : T H E P R O F E S S I O N
member, RPA has chosen to focus on my future potential,
deliberately and consistently inviting me to participate in a
wide range of CAD-free activities including marketing seminars, design conventions, client meetings, contractor evaluations, and financial strategizing.
HO W H A S YOU R S U PE R V I S OR H ELPED
S U P P O RT YOU R PR OGR E S S T H R OUGH
T HE ID P?
My IDP supervisor, who is the senior partner of RPA, has
guaranteed that my hours are spent on a diverse range of
tasks. He is very mindful of the IDP categories that need
more attention and intentionally places me on projects to
target these areas. He also actively tracks my progress
through the IDP, reviewing past experience reports and
projecting future opportunities that will help me satisfy
requirements.
I S T HE RE A NY T H I N G Y OU W I S H Y OU
HAD KNOW N W H E N Y OU STA RT E D
T HE ID P?
I wish I had intentionally pursued the “harder-to-get” categories from the beginning of my employment. Though the
1,200 hours of construction documents seemed daunting,
this was a relatively easy category to fulfill because I consistently contributed large quantities of time toward this experience area. On the other hand, the project cost and
feasibility area, as well as the construction phase: observation area, require a fraction of the hours, but will be among
the last areas for me to complete. These experience areas
are relatively specific and will demand more attention and
support from my supervisor in order for me to get the
required hours.
D I D YOU H AV E M E N T OR S? I F S O, H OW H AV E
T HE Y B E E N H E L PF U L T O Y OU ?
A commitment to mentorship is described in the first paragraph of my employment contract. Protégé development is
at the core of RPA’s priorities. Beyond offering guidance
about the IDP, my mentor has helped to direct and inspire
my career decisions, and has encouraged me to pursue
teaching and extracurricular building projects outside the
office.
H OW DO YOU TH INK YOUR IDP EXP E R I E NCE I S
PR EPAR ING YOU F OR YOUR C AR EER A S A N
AR C H ITEC T?
Though I ultimately aspire to become an expert in a particular segment of design, I value the well-rounded foundation
that has been laid over the past three and a half years. I am
grateful for the balanced and healthy range of responsibilities that have been assigned to me for the sole purpose of
enabling me to complete my IDP experience. I have also
grown to appreciate the mindfulness that comes from knowing where your time is being invested. Having carefully
recorded and categorized my hours, I’ve developed a more
effective understanding of my career trajectory and future
goals. As I’m aware of my progress, I can coherently manage my career course.
DO YOU H AV E ANY ADV IC E F OR
INTER NS ON H OW TO GET TH E MO S T
OUT OF TH E IDP?
I advise young graduates to include the IDP among the many
factors to consider when interviewing for a job. The success
of one’s IDP experience is so closely tied to a firm’s culture
and structure. True mentorship is an invaluable component of
professional growth and career advancement. Seek a firm
that’s willing to take risks with their junior staff members—
and try to accurately assess the value that your future
employer places on long-term relationships, mentorship, and
protégé development.
Finally, I recommend that interns strive to connect their
ARE study regimen with the IDP categories that they’re currently engaging. A tall pile of study materials becomes less
overwhelming when topics are linked to the assignments that
are on your desk. I have benefited from a study system that
leverages the knowledge of my colleagues and the projects
that I interact with each week.
Fo r M or e In for m a t i on
NCARB licensure requirements for each U.S. jurisdiction, including those for
reciprocal registration: www.ncarb.org.
The NCARB IDP Guidelines: http://ncarb.org/en/Experience-ThroughInternships/~/media/Files/PDF/Guidelines/IDP_Guidelines.pdf.
The Emerging Professional Companion (EPC): www.epcompanion.org.
The Green Building Certification Institute LEED AP credential: www.gbci.org.
Construction Specifications Institute certification: www.csinet.org.
AIA IDP Firm Award Guidelines and criteria: www.aia.org/IDPFirmAward.
78
Career Development
BACKGROUNDER
E ri ca J. B r own, AIA, NCARB
The Architect Registration Examination® (ARE®) assesses a
candidate’s knowledge, skills, and abilities to perform the
various services required for the independent practice of
architecture.
Erica J. Brown is director of the Architect Registration Examination for the National Council of Architectural Registration Boards (NCARB). She oversees the development,
administration, and management of all divisions of the
exam. She is licensed to practice architecture in Indiana
and holds the NCARB Certificate.
Each U.S. jurisdiction sets its own requirements for initial
registration. In addition to fulfilling education and experience
requirements, a candidate must meet his or her jurisdiction’s
examination requirement (see Figure 3.2). All fifty-four U.S.
jurisdictions require the completion of the Architect Registration Examination (ARE) to satisfy their examination requirement.
Developed and administered by the National Council of
Architectural Registration Boards (NCARB), the ARE concentrates on those skills necessary for protecting the public
health, safety, and welfare. Figure 3.2 illustrates the ARE
process on the path to licensure.
ED
U
CA
TI
O
N
EXPERIENCE
Obtain
Eligibility
Start
Testing
Pass All
Divisions
Licensure
NCARB
Certification
The Architect Registration Examination®
E
C
N
IE
R
PE
EX
Kenji Bohlin, NCARB
FIGURE 3.2 Path to Licensure: Examination Requirement
To address this need for standardization, NCARB worked
with its Member Boards to create the first nationally
recognized exam for architects in 1965, and in the ensuing
years, continued to make significant improvements to the
exam. In 1997, after extensive research and development,
all exam divisions were delivered and scored by computer,
making the ARE more accessible to candidates and providing the flexibility to test year-round. By establishing a single
examination that all jurisdictions rely on, the process for
achieving reciprocity was streamlined.
It is worth noting that in addition to the ARE, some Boards
require candidates to pass jurisdiction-specific, supplemental
exams in order to satisfy the examination requirement for
licensure.
PA R T 1 : T H E P R O F E S S I O N
AR CHIT EC T REGIST RAT ION
E XAM INAT ION ® ( ARE ® )
EXAMINATION OV ER V IEW
The ARE is developed and regularly reviewed and validated
by subject matter–expert architects, and conforms to standards established by national testing organizations. A
strong research and development culture drives the ARE,
with significant annual investments being made by NCARB
into its continual development and evolution. In all cases,
the process is rigorous, time-consuming, and necessary to
ensure the ARE remains legally defensible and psychometrically valid.
Every five to seven years, NCARB conducts a practice
analysis of architecture by surveying the profession to identify
the tasks and knowledge/skills necessary for independent
practice. Findings from the practice analysis serve as the
basis for updating the ARE test specification.
Any modifications to the exam are made after deliberate,
studied, and controlled evaluation. Exam updates are made
for two essential reasons: to ensure questions reflect current
architectural practice and to use technology that accurately
assesses the ability of candidates to practice architecture
independently.
The following information is current as of 2012 but is
subject to change, since the exam is in a continual state of
development. For the most current information about the ARE,
contact NCARB or visit its website.
Format and Focus of the Examination
HIS T O RY OF A R C H I T E C T U R E E X A M IN AT ION
Licensure examinations weren’t always standardized across
states and jurisdictions. Previously, each registration board
prepared its own test specifications and questions, and set its
own passing standards. Because the examination process
varied from jurisdiction to jurisdiction, an effective system for
reciprocal licensure was not possible.
In addition to testing for competence in specific subject areas,
NCARB is aware of the responsibilities an architect may have
for coordinating the activities of others involved in the
design/construction process. The ARE attempts to determine
a candidate’s qualifications not only in performing measurable tasks, but also in exercising the skills and judgment of a
generalist working with numerous specialists. In short, the
(continued)
3.2 Intern Development
79
objective of the exam is to reflect the practice of architecture
as an integrated whole.
The examination includes seven divisions:
PA R T 1 : T H E P R O F E S S I O N
•
•
•
•
•
•
•
Programming, Planning & Practice
Site Planning & Design
Building Design & Construction Systems
Schematic Design
Structural Systems
Building Systems
Construction Documents & Services
Six of the seven divisions contain a section of multiplechoice items and a separate section including one or more
graphic vignettes, which are problems used to assess candidates’ knowledge, skills, and abilities in the different facets of architectural practice, such as site zoning and
structural layout. One division contains only graphic
vignettes. It is recommended that candidates use the free
practice software provided by NCARB to become familiar
with the software interface used for the graphic vignettes in
the examination.
Eligibility
While all jurisdictions require the ARE to satisfy their licensure examination requirement, candidates will want to
understand and stay informed of the requirements specific
to the jurisdiction where they plan to seek initial licensure.
For example, some states allow concurrent completion of
the Intern Development Program (IDP) and the ARE, so
candidates should contact the individual registration
board to verify when they can become eligible to begin
testing.
Candidates are responsible for maintaining their eligibility status. Once made eligible to take the exam, candidates
must take at least one division every five years in order to
maintain their eligibility to test.
Exam Administration
Candidates may take the exam divisions in the order of their
choosing and must pass all divisions to complete the ARE.
The ARE is administered exclusively on computers through a
network of approximately 300 test centers across the United
States, its territories, and Canada.
Rolling Clock
Under the terms of NCARB’s rolling clock policy, candidates
must pass all divisions within five years; a passing grade for
any division of the ARE will be valid for five years, after
which time the division (or any equivalents) must be retaken
unless all divisions have been passed. Candidates should
also be aware that there is a mandatory six-month waiting
80
Career Development
period before one can retake a failed division of the exam;
candidates may sit for other exam divisions during this waiting period. In addition to NCARB’s rolling clock policy, jurisdictions may have their own retake limit/exam validity time
frame, so candidates should contact their jurisdiction directly
to determine their exam status under the jurisdiction’s rules
and policies.
Resources
NCARB provides a number of resources, accessible on its
website, to help candidates plan and prepare to take the
ARE; however, it is ultimately the candidate’s responsibility to
acquire the knowledge and skills necessary to demonstrate
competency. The NCARB ARE Guidelines are essential reading for anyone preparing for the exam. They include further
detail on the exam, the rolling clock policy, exam eligibility
information, and the steps to take and complete the ARE.
NCARB also offers free Exam Guides and Practice Programs
to help candidates study and practice for each division of the
exam.
Preparation Tips
Planning for the ARE is critical. There are a number of steps
candidates can take to prepare for the examination:
• Take time to review and understand the requirements for
the jurisdiction where seeking initial licensure. If in doubt,
contact the jurisdiction directly to get clarification on its
requirements.
• Review the ARE Guidelines to understand eligibility rules
and other requirements.
• Be proactive, and create a plan for taking the exam:
Determine when and where eligible to sit for it, what order
to take the exam divisions in, and how to prepare.
• Use the exam guides and practice programs provided by
NCARB. Additional references are listed in the back of the
exam guides—many of these resources include professional publications that are commonly available in libraries and offices.
• Form a study group with other candidates, either through
work or locally. Regional AIA chapters may be able to
connect candidates with one another as well.
• Discuss plans with supervisors or mentors for preparing
and taking the exam.
• Take advantage of the resources, support, and benefits
firms may offer interns taking the exam.
For More Information
Architect Registration Examination: www.ncarb.org/ARE.aspx.
Registration requirements for each U.S. jurisdiction: www.ncarb
.org.
BACKGROUNDER
D o ug la s M or g a n
Architects must be licensed in each jurisdiction in which they
seek to practice. The NCARB Certificate, administered by the
National Council of Architectural Registration Boards
(NCARB), is a recognized professional credential that helps
facilitate reciprocal registration for licensed architects among
U.S. and Canadian registration boards.
Douglas Morgan is the Director of Records for the National
Council of Architectural Registration Boards (NCARB).
With over 20 years of records management experience,
Morgan has modernized and transformed NCARB
records management to provide effective regulation and
enhanced customer service to NCARB Record and
NCARB Certificate holders.
After initial licensure, an architect can pursue NCARB
certification, which helps facilitate reciprocal registration in
other jurisdictions (see Figure 3.3). Reciprocity (also commonly referred to as “comity” or “endorsement”) is achieved
when applications for licensure in additional jurisdictions are
approved based on jurisdictional review and acceptance of
verified documentation showing that the architect has satisfied all of the requirements for reciprocal registration.
ED
U
CA
TI
O
N
EXPERIENCE
NCARB
Certification
Licensure
N
O
I
AT
IN
AM
EX
Kenji Bohlin, NCARB
FIGURE 3.3 Path to NCARB Certification
The NCARB Certificate is the most common and widely
accepted means of gaining reciprocity, with more than half
of U.S. registration boards requiring it for reciprocal registration. It certifies that an architect has met the national standards of eligibility for licensure established by the boards
and recommends registration of the architect without further
qualification.
NCARB certification helps streamline the process and
reduce the amount of time needed to receive a reciprocal
license in most states. The reality of architectural practice
today is that many firms, whether large or small, practice in
multiple jurisdictions. Because it expedites reciprocity, certification can help architects or their firms more quickly mobilize
in pursuit of new business or meet expanding client needs
across state lines. Some jurisdictions also allow the benefit of
soliciting work or participating in a design competition prior
to licensure if the architect holds an NCARB Certificate.
When applying for reciprocity, NCARB-certified architects
pay a Record transmittal fee and request transmittal of their
NCARB Record, which is sent by NCARB to the jurisdiction of
interest. The fee includes the services provided as part of the
Record storage, verification, and transmittal processes, and also
helps subsidize the cost of programs that NCARB provides to
the profession, such as the Architect Registration Examination.
Those who have an active NCARB Certificate may use
the letters “NCARB” after their name, indicating that they
have earned and maintain this recognized professional credential and are licensed architects.
PA R T 1 : T H E P R O F E S S I O N
NCAR B C ERT IFICAT ION
S TANDAR D PATH TO C ERTIF IC ATION
Earning NCARB certification is a relatively straightforward
process. The architect needs to establish and hold an active
NCARB Record in order to apply for certification. The NCARB
Record is a detailed, verified record of architecture education, experience, and examination used to establish qualification for licensure and certification. The architect must also
meet the following requirements:
• Be of good character as verified by employers and an
NCARB Member Board where the architect is registered.
• Document completion of a professional degree in architecture from a program accredited by the National Architectural Accrediting Board (NAAB).
• Document completion of the Intern Development Program
(IDP).
• Have passed the Architect Registration Examination®
(ARE®) or its then-current predecessor.
• Hold an active registration in good standing in a U.S.
jurisdiction.
ALTER NATE PATH S TO C ERTIF IC ATIO N
Architects who don’t hold a professional architecture degree
from a NAAB-accredited program, or those credentialed by
a foreign authority, may qualify for NCARB certification
through the Broadly Experienced Architect (BEA) Program or
the Broadly Experienced Foreign Architect (BEFA) Program.
While most jurisdictions accept an NCARB Certificate
(continued)
3.2 Intern Development
81
PA R T 1 : T H E P R O F E S S I O N
through these programs for reciprocal licensure, it is important for each BEA and BEFA applicant to confirm to specific
registration requirements, including those for reciprocity, with
the individual jurisdiction in which they would like to be
licensed.
Broadly Experienced Architect (BEA) Program
The BEA Program provides eligible architects registered in
a U.S. jurisdiction an alternative to the education requirement for NCARB certification. Eligible architects can demonstrate their learning through experience by meeting the
requirements of the NCARB Education Standard, which
approximates the requirements of a professional degree
from a NAAB-accredited program. The BEA Program
requires establishment of an NCARB Record and preparation of an education dossier to demonstrate learning
through experience, and may also require an education
evaluation.
Broadly Experienced Foreign Architect (BEFA)
Program
Architects credentialed by a foreign authority are eligible to
apply for an NCARB Certificate through the BEFA Program.
The multistep BEFA process requires establishment of an
NCARB Record, preparation of a dossier to demonstrate
experience, and a personal interview. An architect intending
to pursue this alternative should complete and submit the
BEFA Eligibility Verification form prior to applying for an
NCARB Record.
To study architecture is to study all
things.
3.3
Alternatives to the Intern Development Program (IDP)
Architects who did not complete the IDP may retroactively
document the IDP for purposes of NCARB certification. This is
the most prudent course of action and offers the best chance
of securing future reciprocity, as many jurisdictions specifically
require the completion of the IDP to gain reciprocal licensure.
A second alternative is available and fully explained in
the NCARB Certification Guidelines; however, it is worth noting that some jurisdictions may not accept this alternative and
may require formal IDP documentation for reciprocal licensure. To use this alternative, applicants must be licensed by a
U.S. jurisdiction for five consecutive years, must verify that
their experience as an architect met the intent of the IDP, and
must have that experience verified by one or more other
architects. This alternative does not apply to architects
licensed after January 1, 2011.
For More Information
NCARB certification and reciprocity: www.ncarb.org or by
contacting NCARB Customer Service at customerservice@
ncarb.org.
NCARB Certification Guidelines: www.ncarb.org/en/
Certification-and-Reciprocity/Certification-Overview/~/
media/Files/PDF/Guidelines/Cert_Guidelines.ashx.
NCARB Education Guidelines: www.ncarb.org/StudyingArchitecture/~/media/Files/PDF/Guidelines/EDU_
Guidelines.pdf.
Registration requirements for each U.S. jurisdiction, including
those for reciprocal registration: www.ncarb.org.
The Career Paths of an Architect
Lee W. Waldrep, Ph.D.
—John Ruskin
Architects are broadly qualified to
practice in a wide variety of roles
and settings within the architecture
profession and building enterprise.
—David Haviland, Hon. AIA
This article describes career designing—a process of developing a career that
parallels the architectural design process—and the roles an architect can pursue
both in the architecture profession and outside traditional practice. As well, it
outlines those career paths beyond architecture, often referred to as
nontraditional careers.
The building of a career is quite as
difficult a problem as the building
of a house, yet few ever sit down
with pencil and paper, with expert
information and counsel, to plan a
A
fter the rigors of an architecture education, work experience, and examination,
becoming an architect may seem the simple and direct path for a career. However, other paths exist not only for the new graduate but also for the experienced architect wanting or needing to make a change.
working career and deal with the
life problem scientifically, as they
would deal with the problem of
building a house, taking the advice
of an architect to help them.
—Frank Parsons, 1909
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Career Development
Currently the assistant director at the School of Architecture at the University of Illinois at
Urbana-Champaign, Lee W. Waldrep has 20 years of experience in higher education. With
degrees from American University, ASU, and Michigan, he is the author of Becoming an
Architect: A Guide to Careers in Design, 2nd edition (Wiley 2010).
PA R T 1 : T H E P R O F E S S I O N
As the father of vocational guidance Parsons states, the building of a career—the
process of career development—is a difficult but important task. Yet few individuals
prepare for their careers in a thoughtful, careful, and deliberate manner. Instead, many
often fall into a career, while others make random career choices that show little commitment to their occupation. This approach frequently leads to dissatisfaction.
C A RE E R DESI GN IN G
Deliberately designing one’s career path maximizes career success at any point on a
career. As with architectural projects, careers can be planned. Actually, designing a
career is parallel to designing a building. Programming, schematic design, design
development, working drawings, and construction are replaced in the career designing
process with assessing, exploring, decision making, and planning.
Assessing
When an architect designs a project, programming is the first step in the process. As
William Pena points out in Problem Seeking, the main idea behind programming is the
search for sufficient information to clarify, understand, and state the problem. In a
similar manner, when designing a career, the process begins with assessing.
Assessing involves learning about yourself. Assess where you want to be; analyze
what is important to you, your abilities, the work you would like to do, and your
strengths and weaknesses. Just as programming assists the architect in understanding
a particular design problem, assessment helps determine what a person wants from
their career. This ongoing process must be revisited throughout a person’s entire
career. The details of assessment include examining values, interests, and skills.
Know thyself.
—Inscription over the Oracle at
Delphi, Greece
Values
Values are feelings, attitudes, and beliefs held close to the heart. They reflect what is
important to a person; they tell you what you should or should not do. Work values are
the enduring dimensions or aspects of work that are regarded as important sources of
satisfaction. Values traditionally held high by architects include creativity, recognition,
variety, independence, and responsibility.
As a quick inventory, circle which of the following you value most in your work:
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Social contributions
Creativity
Excitement
Working alone or with others
Monetary reward
Competition
Change and variety
Independence
Intellectual challenge
Physical challenge
Fast pace
Security
Responsibility
Making decisions
Power and authority
Gaining knowledge
Spiritual/Transpersona
Recognition
Your responses provide insight on a career path within the profession. For example,
an architect who valued contributions to society most highly might look for opportunities for work in public interest design.
▶ Socially Responsible Design
Overview (4.1) addresses public
interest design.
3.3 The Career Paths of an Architect
83
Interests
PA R T 1 : T H E P R O F E S S I O N
Interests are those ideas, events, and activities that stimulate enthusiasm; they are
reflected in choices you make about how you spend your time. In simplest terms, interests are activities that an individual enjoys doing. Typically, architects have a breadth of
interests because the field of architecture encompasses artistic, scientific, and technical
aspects. Architects enjoy being involved in all phases of the creative process—from
original conceptualization to a tangible finished product.
To determine your interests, complete the following exercise: In 10 minutes of
continuous writing, never removing pen from the paper or fingers from the keyboard,
answer the question: What do I like to do when I am not working?
Career development theory dictates that an individual’s career path should follow
their interests; if they do, they will see success.
Skills
Skills or abilities can be learned. There are three types of skills—functional, selfmanagement, and special knowledge. Having a functional skill means being able to
perform some specific type of activity, action, or operation with a good deal of proficiency. According to the Bureau of Labor Statistics, an architect needs the following skills: analytical, communication, creativity, critical-thinking, organizational,
technical, and visualization. Self-management skills speak to one’s personal characteristics, while special knowledge are skills you have that may not necessarily pertain
to your career.
The importance of knowing one’s skills is echoed by Richard Bolles in The Quick
Job Hunting Map: “You must know, for now and all the future, not only what skills you
have, but more importantly, what skills you have and enjoy.” With respect to skills,
think back over the past five years. What were your five most satisfying accomplishments? Next to each, list the skills or abilities that enabled you to succeed. Similarly
review your failures to determine traits or deficiencies you want to overcome. Knowing
your skill set is important as it helps you direct your career path.
A variety of techniques may be used to conduct an assessment. The few listed here
are simply to get started; others include writing an autobiography and undertaking
empirical inventories or psychological assessment with the assistance of a career adviser.
Regardless of the method you choose, only you can best determine what skills you have
acquired and enjoy using; the issues, ideas, problems, and organizations that interest
you; and the values that you care about for your life and career. By assessing yourself,
you will better be able to make decisions related to your career path.
Exploring
Students spend four or more years
learning how to dig data out of the
library and other sources, but it
rarely occurs to them that they
should also apply some of the same
new-found research skill to their
own benefit—to looking up information on companies, types of professions, sections of the country that
might interest them.
—Albert Shapero
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Career Development
Schematic design follows programming in the design process. Schematic design generates alternative solutions; its goal is to establish general characteristics of the design,
including scale, form, estimated costs, and the general image of the building, the size
and organization of spaces. In addition, schematic design identifies major issues and
makes initial decisions that serve as the basis of subsequent stages.
In career designing, exploring is parallel to schematic design. It develops alternatives or career choices. Career exploration is the process of accumulating information
about the world of work. Its goal is to obtain career information on a plethora of
careers or specializations within a particular career. Even if you already have chosen
architecture as a career, it is still a valuable and necessary process. Instead of exploring
careers, you can explore firms, possible career paths within architecture, and other
areas that affect your architectural path; understanding exploration will help you be
flexible and adaptable when the economy or other factors require it.
To begin, collect career information from a variety of sources, both people and
publications. Conduct an information interview—interviewing someone to obtain
Decision Making
The heart of the design process is design development. Similarly, decision making is
the heart of the career development process. Design development describes the specific
character and intent of the entire project; it further refines the schematic design and
defines the alternatives. Decision making means selecting alternatives and evaluating
them against a predetermined set of criteria.
How you make decisions? Do you rely on gut-level reactions? Or do you follow a
planned strategy of weighing alternatives? Whatever your method of deciding, be
aware of it. While some decisions can be made at the drop of a hat, others, including
career designing, require more thought.
Decision making can be difficult and time-consuming, but knowing the quality of
decisions is affected by the information used to make them, you quickly realize that
making informed decisions is an important skill to learn. Decision making is making
the decision based on what you learned from assessing and exploring.
Both exploring and decision making are critical steps to successful career designing.
Once a decision is made and a path chosen, the next step, planning, is about taking
action to realize your goals.
What most people want out of life,
more than anything else, is the
opportunity to make choices.
—David P. Campbell
Planning
Planning is key to fulfilling your career goals. After the owner/client decides on a
design for a potential building, the next step is the development of plans. These plans—
construction documents, specifications, and construction schedules—all play an important role in realizing the design. As part of the career development process, planning
ensures that a successful career will be realized.
In his book The 7 Habits of Highly Effective People, author Stephen Covey states that
a mission statement focuses on what you want to be (character) and to do (contributions and achievements) and on the values or principles on which being and doing are
based. To start the planning process, draft your mission statement by asking yourself:
What do I want to be? What do I want to do? What are my career aspirations? Review
the mission statement example below:
If you do not have plans for your
life, someone else does.
—Anthony Robbins
Planning is bringing the future into
the present so that we can do
something about it now.
—Alan Lakein
I desire to act in a manner that brings out the best in me and those important to me—
especially when it might be most justifiable to act otherwise.
After you have crafted your mission statement, the next step is to develop goals that
will lead to its fulfillment. Goals are future-oriented statements of purpose and direction to be accomplished within a specified time frame. They are stepping stones in
achieving long-range aims and should be specific and measurable. Write down your
goals. It has been said that the difference between a wish and a goal is that a goal is
written down.
Once you establish your goals, you are ready to develop the action plan that will
help you accomplish them. Action plans are steps on the path toward your goals; they
3.3 The Career Paths of an Architect
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information. People to interview might include a senior partner in a local firm, a faculty
member, a classmate or colleague, or a mentor. Other ways to explore are through
attending lectures sponsored by the local AIA chapter or a university, volunteering time
through a local AIA committee or other organizations of interest, becoming involved
with a mentor program, and observing or shadowing someone for a day.
As Shapero states, use research skills to access any and all information on a
career. Visit your local library and inquire about the following publications: The
Dictionary of Occupational Titles (DOT), Occupational Outlook Handbook (OOH), Guide
to Occupational Exploration (GOE), and What Color Is Your Parachute? Ask a reference
librarian to identify other resources that might find valuable. In addition, investigate resources at your local AIA chapter or the library/resource center at an area
architecture program.
PA R T 1 : T H E P R O F E S S I O N
are stepping stones in achieving related short-range intentions. Look at your
accomplished goals. What steps must you take to accomplish them? As with career
goals, write down your action plan, including specific completion dates.
The final step in planning is to review your action plans and goals regularly.
Cross out the goals you have accomplished and revise, add to, or delete others. Be
honest with yourself. Are you still committed to achieving your goals? You can
change them, but remember that the magic road to achievement is persistence. Abandon goals only if they have lost meaning for you, not because they are tough or you
have suffered a setback.
Now that you understand the career designing process—assessing, exploring, decision making, and planning—you can implement it. This process is never-ending and
cyclical as you progress through your professional career. As soon as you have secured
an ideal position in a firm, you will wish to assess your new life situation and make
adjustments to your career design accordingly. Designing your career is one of the
most important tasks during your lifetime.
C ARE E R PATH S
Careers in Architecture
▶ Entrepreneurial Practice:
Starting an Architecture Firm
(5.2) discusses why and how to
start one’s own firm.
Pursuing architecture prepares an individual for a vast array of career possibilities.
Many of these are within traditional architecture practice, but many are also available
in related career fields.
Within the traditional architecture firm, graduates may obtain a beginning position
as an intern and progress to junior designer, project architect, and, eventually, associate
or principal. Getting to the top does not happen overnight; it can take a lifetime. Aspiring professionals may pursue their careers in traditional firms regardless of their size
(small, medium, or large) or may choose to work in a different setting, such as a private
corporation, a government agency, or a university—or, after obtaining professional
licensure, may choose to start their own firms.
Architectural Practice
▶ Intern Development (3.2)
discusses the IDP in detail.
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Career Development
How does a career in architecture begin? How does a person progress from graduation to become an architect? Following the AIA Definition of Architect Positions,
the path seems linear, progressing from an intern to architect; once licensed (and
depending on the firm), the path continues to architect I (3–5 years) and architect/
designers III (8–10 years). From there, the path progresses to project manager,
department head or senior manager, junior principal/partner, and concludes with
senior principal/partner.
Of course, the path of a career in architecture is not strictly linear; however, it is
helpful to understand these titles with the knowledge and responsibility associated
with them, as outlined in Dana Cuff’s Architecture: The Story of Practice. Upon entry
into the profession, the intern is building upon their educational foundation through
practical experience under the supervision of an architect; and the intern is tracking
their experience in the Intern Development Program (IDP), an essential step in
becoming an architect. Once licensed, the architect is demonstrating competence,
gathering responsibility, and gaining autonomy and management tasks. When at the
full-fledged stage, the architect is gaining fiscal responsibility on a widening sphere
of influence.
The entering graduate does face challenges. Given the gap between education and
practice, what happens in the studios of schools is much different than the studios of
the firms. For this reason, architecture students are strongly encouraged to seek intern
positions in architecture firms during their academic years.
Those seeking licensure will find it essential to secure employment within an architecture firm to gain the necessary experience under the direct supervision of an
• Senior Principal/Partner: Typically an owner or majority
shareholder of the firm; may be the founder. Titles
include president, chief executive officer, or managing
principal/partner.
• Mid-Level Principal/Partner: Titles include executive or
senior vice president.
• Junior Principal/Partner: Recently made a partner or
principal of the firm. Title may include vice president.
• Department Head/Senior Manager: Senior management
architect or nonregistered graduate; responsible for major
department(s) or functions; reports to principal or partner.
• Project Manager: Licensed architect or nonregistered
graduate with more than 10 years of experience; has
overall project management responsibility for a variety
of projects or project teams, including client contact,
scheduling, and budgeting.
• Architect/Designer III: Licensed architect or
nonregistered graduate with 8 to 10 years of
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experience; responsible for significant aspects of
projects; responsible for work on minor projects.
Selects, evaluates, and implements procedures and
techniques used on projects.
Architect/Designer II: Licensed architect or
nonregistered graduate with 6 to 8 years of experience;
responsible for daily design or technical development of
a project.
Architect/Designer I: Recently licensed architect or
nonregistered graduate with 3 to 5 years of
experience; responsible for particular parts of a
project within parameters set by others.
Intern: Unlicensed architecture school graduate under
supervision of an architect.
Entry-Level Intern: Unlicensed architecture school
graduate in first year of internship.
Student: Current architecture student working during
summer or concurrently with school.
architect and meet the requirements of the Intern Development Program (IDP); however, in recognition of opportunities to go beyond traditional practice—such as working under registered professionals in related professions like landscape architecture, or
working under an architect outside of a firm setting—interns can gain experience in
other work settings.
When seeking employment, one should consider firm size as a factor when considering where to work; in large firms, an intern will be exposed to a broad scale of projects and a full-service firm, but may be limited in their exposure to aspects of practice.
In a small firm, the intern will see the full spectrum of projects, but the projects may
be limiting in scope and size. Where one works at the start of their career can have an
impact on their future career trajectory in architecture.
Within what is typically referred to as traditional practice, there are firms that
develop specialties. While they are still architecture firms, these specialties provide
opportunities to showcase talent or strong interest. Examples of such specialties include
programming, design, specifications, construction contract administration, or sustainability.
Some firms focus on particular building types, such as healthcare, religious, justice
facilities, housing, interiors, sports facilities, educational, and institutional. One firm—
for instance, Animal Arts in Boulder, Colorado—focuses on facilities related to animals,
including veterinary hospitals, shelters, and pet resorts. As a specialist in healthcare, an
architect can become a certified healthcare architect with the American College of
Healthcare Architects (ACHA). Certain Knowledge Communities of the AIA that
focus their energies on building types or specialties include the Academy of Architecture for Health, the Academy of Architecture for Justice, the Committee on Architecture for Education, and the Interfaith Forum on Religion, Art and Architecture, among
others.
Another means to expand a career within the profession is through supplemental architectural services. Because of the recent economic downturn, the AIA created
the Supplemental Architectural Services program, a series of detailed essays and
slide presentations to offer assistance to architects in expanding their consulting
services.
3.3 The Career Paths of an Architect
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AIA D EFIN IT ION OF ARCHITE CT P O S ITIO N S
S U PPL EM ENTAL ARC HIT EC TURA L S E RVICE S
Supplemental architectural services can:
PA R T 1 : T H E P R O F E S S I O N
• Help architects generate income.
• Increase the value of the firm through diversification.
• Help attract new clients or keep the firm involved with
existing patrons.
• Be used as special projects for young professionals to
nurture their development.
The AIA has identified 48 supplemental architectural
services, listed below. More information on each of
these—required knowledge and skills, why clients need the
deliverables, associated tasks, and the AIA Contract
Document that can be used in conjunction with the
service—can be found at the AIA Architects Knowledge
Resource, Supplemental Architectural Services (http://
www.aia.org/practicing/akr/AIAB089194).
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Accessibility Compliance
Architectural Acoustics
Building Measurement
Code Compliance
Commissioning
Contract Administration/Construction Contract
Administration/Design and Construction Contract
Administration
Construction Defect Analysis
Construction Documentation—Drawings
Construction Documentation—Specifications
Construction Management
Construction Procurement
Demolition Planning Services
Detailed Cost Estimating
Digital Architecture Survey Technologies
Energy Analysis and Design
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Energy Monitoring
Environmental Graphic Design
Expert Witness Services
Facility Evaluation Services
Facility Management/Facility Support
Furniture, Furnishings and Equipment Services/FFE
Design
Geotechnical Services
Historic Preservation
Indoor Air Quality Consulting
Interior Design/Architectural Interior Design
Land Surveying Services
Lighting Design
Model Construction
Move Management
On-Site Project Representation
Parking Planning Services
Postoccupancy Evaluation
Program Management Services
Programming
Project Financing and Development Services
Record Drawing
Regional or Urban Planning
Renderings
Research Services
Security Evaluation and Planning Services
Seismic Analysis and Design
Site Analysis/Site Evaluation and Planning
Space Planning
Strategic Facility Planning
Sustainable Building Design
Urban Design Services
Value Analysis
Zoning Process Assistance
Outside Traditional Practice
Beyond traditional practice, architects work in a number of other settings. While no
exact statistics are kept, it is estimated that one in five architects work outside private
practice.
• Corporations and institutions. Do you want to work at McDonald’s? It may come as a
surprise that McDonald’s hires architects, as do many businesses and corporations.
Corporate architects may serve as in-house architects, but in most cases they represent the interests of the corporation to the outside architects they hire. Depending
on the industry, they may be involved with all phases of a project.
• Government and public agencies. Federal, state, and local governments commission
more than one-quarter of construction annually. As such, opportunities exist for
architects in public agencies. Many departments of government, including the military, employ architects. In addition to traditional tasks, architects manage facilities
and projects and oversee construction. Emerging professionals may find it difficult
to start a career in a public agency, but such careers can be extremely worthwhile.
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Career Development
▶ See Research in Practice
(14.1) and Participating in
Architecture Education (3.6) for
further discussions of architecture
research and education.
Beyond Architecture
An architecture education is excellent preparation for many career paths beyond architecture. In fact, the career possibilities with an architecture education are truly limitless. Anecdotal estimates suggest that only one-half of architecture graduates pursue
licensure. By applying the ideas listed earlier in “career designing,” one can launch a
successful career beyond architecture.
Career paths beyond traditional practice tap into the creative thinking and problem-solving skills developed from an architecture education. The interest in these
paths is growing; the results of the most recent AIA/NCARB Internship and Career
Survey of interns and emerging professionals indicate that nearly one-fifth of the
respondents do not plan on pursuing a traditional career in architecture, although they
still plan to obtain their license.
Over the last four years, Archinect, an online forum for architecture, has featured
over 25 architects who have applied their backgrounds in architecture to other career
fields through its “Working Out of the Box” series. While most are still connected to
design in some form, the range of career fields is quite diverse: filmmaker, organic
farmer, artist, design director at a resort hotel chain, user experience designer, information designer, and design technology consulting. Also, the reasons for pursuing these
are varied and typically not tied to the recent economic downturn.
For purposes of his doctoral thesis, Robert Douglas, FAIA, studied nontraditional
careers (maverick architects) and found those that he studied credited “design thinking” as helpful in their careers beyond architecture. From his research, architecture
graduates and architects pursued careers in law, investment banking and real estate
development, computer software, lighting design, film production and set design, cultural policy, architectural criticism and journalism, facilities planning, land planning
and management, industrial and product design, arts programming, structural engineering, highway design, public arts installation, architectural photography, painting
and sculpture, and clothing design.
A June 2008 issue of Columns, the AIA Pittsburgh magazine, entitled, “It’s a Wonderful Life,” highlighted architects who built new careers after first having one as an
architect. First, the article outlines the path of actor Jimmy Stewart, who graduated
from Princeton University having studied architecture but instead pursued acting
(hence the title of the article). Next, it highlights four individuals who, after successful
careers as architects, moved to new career paths—development, needlepoint (fiber art),
community design, and construction supervisor. In each case, they discuss how their
education and background in architecture paved the way for their new chosen career.
As a profession, architecture offers
a myriad of possibilities for rewarding careers.
—Irene Dumas-Tyson
I am certain that architectural graduates who are in command of the
powerful problem-defining and
problem-solving skills of the
designer will be fully capable of
designing their own imaginative
careers by creating new definitions
of meaningful work for architects
that are embedded in the social
landscape of human activity and
life’s events.
—Leslie Kanes Weisman
• Related design professional (landscape architecture, interior design, urban design). Given
the parallel education of design, it is clear why some architects pursue the related
career fields of landscape architecture, interior design, and urban design. Many
architects pursue careers in interior architecture or space designing, while other
3.3 The Career Paths of an Architect
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Employers of public architects (as represented on the 2012 Advisory Group of the
AIA Public Architects Knowledge Community) include the State of Ohio, Texas
A&M University, the U.S. Army Corps of Engineers, Thomas Jefferson National
Lab, the City of Dallas, and the Judicial Council of California.
• Education and research. For some architects, a substantial career path is teaching and
research. According to the National Architectural Accrediting Board (NAAB), there
are over 6,064 faculty members within the accredited programs of architecture in
the academic year 2011–2012, most of whom are adjunct faculty. Additionally, with
over 300 programs in architectural technology at the community college level,
many more opportunities exist for architects to teach at this level. In addition to
teaching, architects serving as faculty will pursue research interests to test ideas that
connect education and practice. Aside from teaching future architects, many faculty
members also maintain a practice.
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▶ Architect-Led Design-Build and
its accompanying backgrounder
Architects as CM for Small
Projects and Small Firms (9.5)
further address the architect’s role
in design-build project delivery.
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Real estate. More recently, more
architects have become involved
with real estate development, the
creation of communities, and the
repositioning of land or buildings
into a higher or better use. For
architects wishing to expand their
influence on the building process,
real estate may be a good fit, as
it connects multiple disciplines
(engineering, architecture,
planning, finance, marketing,
law, and environmental impact).
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pursue the profession of landscape architecture to design outdoor spaces. Still others combine their talents in design to focus on urban design.
Engineering and technical. As architecture is both an art and a science, many architects will pursue careers in engineering or more technical fields. Many with a joint
degree in architecture and engineering will pursue civil or structural engineering,
but there are other opportunities that exist if there is an interest in the technical side
of the profession.
Construction. Because of the connection between design and construction, many
architects have pursued careers in construction as construction managers, general
contractors, and/or related associates. Architecture firms have expanded their services to include design-build and construction management, bridging the two disciplines.
Art and design. Because much of what architects do is considered an art, it is no
surprise that many architects pursue careers in art and design; this extends from fine
arts (painting) to applied arts (graphic design and furniture design). Some will determine a way to combine their background in architecture more directly with art,
while others truly move away from architecture to pursue their art.
Architectural products and services. Perhaps less obvious are careers in architectural
products and services. As these manufacturers market and sell their products and
services to architects, who better to serve in these positions but those trained as
architects? With an interest in and talent for sales, opportunities exist for a rewarding and fulfilling career.
Other. As stated in the quote from Irene Dumas-Tyson, an education in architecture
offers myriad career possibilities. But what other career paths are open to architecture graduates, emerging professionals, or architects? The true answer: There are
over 25,000 occupations as defined by the Bureau of Labor Statistics that potentially
highlight skills and fulfill passion. Truly, the only limitation to possible career paths
is one’s imagination.
Katherine S. Proctor, FCSI, CDT, AIA, former director of student services at the
University of Tennessee, shares her perspective:
For an individual interested in the career of architecture, the possibilities are endless. I
have seen students graduate and become registered architects, professional photographers, lawyers, bankers, business owners, interior designers, contractors, and artists. The
education is so broad, with a strong liberal arts base, that it provides a firm foundation
for a wide array of exploration. This comes from the content of the curriculums but also
from the methodology. The design studio, which is the core of the curriculum, provides
a method to take pieces of intellectual information and apply it within the design process.
The movement from thinking to doing is powerful. The ability to integrate hundreds of
pieces of information, issues, influences, and form and find a solution is a skill that any
professional needs to solve problems, whether they are building issues or life issues.
The future is not a result of choices
among alternative paths offered by
the present, but a place that is
created—created first in the mind
and will, created next in activity.
The future is not some place we are
going to, but one we are creating.
The paths are not found, but made,
and the activity of making them
changes both the maker and the
destination.
—John Schaar, Futurist
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Career Development
EMERGIN G C A R E E R S
Most would agree that the architecture profession is changing; as a result of this
change, opportunities are being created to expand the profession beyond what it is
now. For example, sustainability has already created new emerging career paths for
architects.
Many within the profession have pursued becoming a Leadership in Energy Efficient Design Accredited Professional (LEED AP). As outlined by the Green Building
Certification Institute, those credentialed as LEED APs are building industry professionals who have demonstrated a thorough understanding of green building and the
LEED® Green Building Rating System™ developed and maintained by the U.S.
Green Building Council (USGBC).
Technology such as building information modeling (BIM) will continue to play an
increasing role within the architecture profession and will also create new career paths.
S U CCEEDING IN T HE B UILT E N VIRO N M E N T
H . Ala n B r a n g ma n , AIA
I became an architect because I have always had a fascination
with building things. I initially went to school at the University
of New Hampshire to study civil engineering. At the beginning
of my sophomore year I met an art professor who had been a
former instructor at Cornell University. He suggested that I
transfer to Cornell. My degree is the Bachelor of Architecture.
My greatest challenge as an architect has and continues
to be convincing other professionals that architects are capable of doing much more than just architecture. As the university
architect at Howard University, my job responsibilities are
more in line with those of a principal in a real estate development firm. I am responsible for implementing and monitoring
programs and processes to achieve short-term and long-term
Howard-wide strategic and operational goals as they relate to
facilities and real estate. I am also responsible for the hiring of
design and planning consultants and for providing program,
planning, and design oversight for all university facilities, as
well as monitoring construction projects on campus.
Initially, I pursued a nontraditional career path because
I had an interest in something more than just designing buildings. I spent nine years with the Oliver T. Carr Company, a
real estate development company in Washington, D.C. That
opportunity opened my eyes to the breadth of the built environment and provided me with a much more global perspective on place making.
When I started my career in real estate development, I
had been counseled to consider obtaining an MBA. I did not
want to commit the time required to return to graduate school.
I decided to pursue the path of learning through experience.
Since I had been schooled as an architect and architects are
taught to solve problems, I was able to manage any of the
issues that were part of my job responsibilities quite well.
After getting a few years under my belt, I obtained the Real
Estate Development Primer Certificate from Harvard Graduate School of Design and Wharton School of Business as a
way of confirming what I had learned. It worked.
PA R T 1 : T H E P R O F E S S I O N
H. Alan Brangman is associate vice president of facilities,
real estate, and university architect, Howard University,
Washington, DC.
BE Y O ND ARC HIT EC T URE
O U T S I D E T RA D I T I ON A L PR A C T I C E
Construction/Building Inspector
Academic Dean/Administrator
Illuminating Engineer
Architectural Historian
Marine Architect
Corporate Architect
Structural Engineer
Facilities Architect
Urban Planner
Professor
Public Architect
Researcher
University Architect
RE L ATE D PROF E SS I ON A L
Interior Designer
Landscape Architect
Urban Designer
E NG INE E RI NG A N D T E C H N I C A L
Architectural Acoustics
C ONS TR UC TION
Carpenter
Construction Manager
Construction Software Designer
Contractor
Design-Builder
Estimator
Fire Protection Designer
Land Surveyor
Project Manager
R EAL ES TATE
Building Pathologist
Property Assessor
Cartographer
Real Estate Agent
Civil Engineer
Real Estate Developer
Computer Systems Analyst
(continued)
3.3 The Career Paths of an Architect
91
PA R T 1 : T H E P R O F E S S I O N
ART A ND D E SI GN
AR C H ITEC TUR AL PR ODUC TS AND S E R VI CES
Architectural Illustrator
Product Manufacturer Representative
Architectural Photographer
Sales Representative
Art/Creative Director
OTH ER
Artist
Clothing Designer
Architectural Critic
Exhibit Designer
Author/Writer
Filmmaker
City Manager
Furniture Designer
Environmental Planner
Graphic Artist/Designer
Golf Course Architect
Industrial/Product Designer
Lawyer
Lighting Designer
Preservationist
Museum Curator
Public Official
Set Designer
Toy Designer
Web Designer
Firms have emerged that are assisting architecture firms in creating virtual designed
environments. Additional career options, such as BIM management and facilitation, are
being created as a result of technology.
Other influences that are creating new career opportunities for architects are integrated project delivery (IPD) and other alternative project delivery methods; international practice; and public interest design.
To adequately prepare for your future in architecture or beyond, consider reading
The New Architect: A New Twist on the Future of Design (Greenway Communications,
2007) by James P. Cramer and Scott Simpson.
C ON C LU S I O N
As stated by David Haviland, Hon. AIA, “Architects are broadly qualified to practice in
a wide variety of roles and settings within the architecture profession and building
enterprise.” To maximize one’s path, the chapter highlighted “career designing”—the
process of assessing, exploring, decision making, and planning.
Further, the chapter outlined the myriad possible career paths of an architect, both
within traditional practice (extending from intern to architect to principal) as well as
careers outside traditional practice and beyond architecture. Finally, emerging and
potential trends for design professionals were listed.
Fo r M or e In for m a t i on
AIA Supplemental Services program, a series of detailed essays and slide presentations:
www.aia.org/practicing/akr/AIAB089194.
Archinect: http://archinect.com/.
The New Architect: A New Twist on the Future of Design (Greenway Communications,
2007) by James P. Cramer and Scott Simpson.
Occupational Outlook Handbook: www.bls.gov/ooh/.
What Color Is Your Parachute? A Practical Manual for Job-Hunters and Career-Changers
(Ten Speed Press, 2013) by Richard N. Bolles: www.jobhuntersbible.com/.
The Dictionary of Occupational Titles (DOT): www.occupationalinfo.org/.
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Career Development
3.4
AIA Continuing Education System
PA R T 1 : T H E P R O F E S S I O N
John Lape, AIA, FCSI, CCS, CSC
The AIA Continuing Education System (AIA/CES) is a thriving, multifaceted,
lifelong professional development program and the largest source of education
specifically targeted to architects.
T
he American Institute of Architects Continuing Education System (AIA/CES) was
developed to help members further their continuing education needs plus meet
the requirements for state licensure and membership in the AIA. AIA/CES was
approved at the AIA convention in Boston in the early 1990s and began as a pilot program in 1994. It started as a voluntary trial requirement and then, in January 1996,
continuing education became a requirement for all architect members of AIA.
A I A/CE S MI SSION
As stated in the AIA/CES 2012 Providers Manual, “The AIA/CES mission is to support
AIA members in mastering new knowledge and skills to meet the changing requirements of the profession and to responsibly meet a role that society entrusts to architects. AIA/CES supports its continuing education mission through its Approved
Provider Program, which consists of a network of AIA/CES Approved Providers. AIA/
CES hopes to inspire and guide approved providers to consistently deliver quality
education courses for architects.”
AIA/C ES : AN EV OLVIN G P RO GRA M
It is interesting to note how the program has evolved, as
evidenced by three quotations from the years 2000, 2011,
and 2012.
FRO M 2 0 0 0 A I A F I R M L E A D E R S H IP S UMMIT
“It is a continuing education system developed by
the AIA that emphasizes learning and records
professional learning as a requirement for architect
membership. It enables the architect to keep
current, master new knowledge and skills, plan for
the future, and responsibly meet the role society
entrusts to a professional. In doing so, it has the
potential to be one of the primary forces in the
improvement and revitalization of our profession.”
F R OM C ES MANUAL, 2011
“First developed in 1994, the AIA/CES is a
continuing education system developed by the AIA
to organize and track professional development
activities required for AIA membership. AIA/CES
enables members to keep current on issues in the
field, master new knowledge and skills, plan for
the future, and responsibly meet the role society
entrusts to a professional architect. By making
available learning opportunities in every area of
knowledge relevant to today’s architect, the AIA/
CES program has grown into a major force in the
improvement and revitalization of the architecture
profession in the twenty-first century.”
(continued)
John Lape started his small architecture firm in Portland, Oregon, in 1988. He has served on
numerous continuing education committees and advisory groups and was 2012 chair of the
national AIA Education Committee. Lape has presented at many Providers Conferences and
National Conventions, and he is an AIA/CES provider.
3.4 AIA Continuing Education System
93
and records them on their transcripts as a service
and as a benefit of AIA membership.”
FRO M C E S PR OV I D E R S M A N U A L , 2012
PA R T 1 : T H E P R O F E S S I O N
“The AIA Continuing Education System is a
thriving, multifaceted, lifelong professional
development program and the largest source of
education specifically targeted to the design and
building industry. This course was developed by
the AIA to help members meet their state
mandatory continuing education (MCE)
requirements and to help fulfill their AIA continuing
education requirements for membership renewal.
Most state licensing boards with MCE
requirements recognize the AIA/CES as the
primary source of continuing education for their
licensed architects. In addition, AIA/CES tracks
continuing education courses taken by members
The first quotation, from 2000, talks about the
“potential” of the AIA/CES program to be one of the
primary forces in the improvement and revitalization of
our profession. There is no mention of the state licensing
mandatory continuing education requirements. By 2012,
that “potential” has been met as the program is
described as a “thriving, multifaceted, lifelong
professional development program and the largest source
of education specifically targeted to the design…
industry.” AIA/CES is no longer described as being “one
of the primary sources,” but is widely recognized in
2012 as “the primary source” for architects’ continuing
education.
C ON TIN U IN G E D U C ATI O N O V E R V I E W
Architecture used to be referred to as an “old man’s profession.” This reference was
only partially due to the apparent domination of seasoned (and male) practitioners.
The primary reason for this perception was that it can take many, many years to
acquire the experience, technical knowledge, and design expertise to truly contribute
to the profession.
Even before formalized continuing education, it was well known that to be relevant and competitive in the industry, a commitment to continued learning was
critical. While AIA membership is still dominated by more seasoned practitioners,
the playing field has been leveled somewhat with the advent of computer technology and the Internet. The post–baby boom generations have grown up in a vastly
different, and more communicative and collaborative learning environment than
their elders.
C ON TIN U IN G E D U C ATI O N R E Q U I R E ME N TS FO R LI C ENSU R E
▶ The backgrounder on
Mandatory Continuing Education
(3.1) contains further information
about continuing education
requirements to maintain
licensure.
Currently, architectural boards in 42 states, the District of Columbia, Puerto Rico and
Guam, 11 Canadian Provinces, and 19 countries have implemented mandatory continuing education (MCE) for an architect’s state licensure renewal. Each architect must
register and meet each state’s licensing board standards in order to practice in that
state. On average, AIA member architects are licensed to practice in four states, often
with varying MCE requirements.
The AIA/CES program is currently the only continuing education tracking specifically designed for architects to meet their state MCE requirements and the AIA’s
continuing education requirements. AIA/CES staff has worked closely with all of the
state boards of architecture that require continuing education for licensure renewal
(see Figure 3.4). Most state boards’ mandatory continuing education requirements
recognize the AIA/CES system as a primary source for architectural continuing
education.
H OW AIA/ C E S WO R K S
The AIA’s online “Discovery” system is the backbone of the AIA Continuing Education System. Discovery provides general information about the AIA/CES program
and about state and provincial mandatory continuing education requirements.
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Career Development
PA R T 1 : T H E P R O F E S S I O N
MCE Requirements: report date
DC
NCARB
AIA
2/28
5/31
7/31
3/31
6/30
8/1
10/31
11/30
4/30
7/1
8/30
11/1
Lic ann
DOB
Yr. end
N.A.
John Lape
FIGURE 3.4 Mandatory Continuing Education Requirements Report Date Map
Information and application forms needed to become a Registered CE Provider are
also available. Discovery provides password-protected access that allows AIA members to view their continuing education transcripts. The site also gives AIA members
access to a wide range of information about continuing education classes. In addition, Discovery is the portal that Registered Providers use to register courses and
report attendance. Enhancements to CES Discovery are continuing as an ongoing
process.
Types of Credits
In 2011, over one million member credits were registered in the CES Discovery system. All AIA architect members are required to acquire a minimum of 18 credits per
calendar year. While there is no standard for state MCE as of 2012, the National
Council of Architectural Registration Boards (NCARB) passed their Model Law and
Model Regulations in June of 2011, which recommends that states require 12 Health,
Safety, and Welfare (HSW) credits per calendar year. The majority of states require an
average of 12 credits per year (24 credits for a two-year cycle).
Some states have requirements for continuing education that include specialized
training, such as a minimum number of credits in accessibility design and in building
codes. California, for example, requires a minimum of five accessibility design credits
within a two-year renewal cycle.
3.4 AIA Continuing Education System
95
As of 2012, AIA/CES tracks three types of credits:
PA R T 1 : T H E P R O F E S S I O N
• Learning Units (LUs): The base measure for credits, with one hour of general
education equaling one LU credit. There is no requirement for general education in NCARB’S model law and model regulations, which support the professional responsibility of architects to safeguard the general public.
Nevertheless, the AIA/CES program recognizes the need to encourage architect members to get a broad range of education. This general credit type is
expected to remain a part of the AIA/CES system, in part to enhance the
standing of the AIA membership.
• Learning Unit/Health, Safety, Welfare (LU/HSW): A specific type of credit that can only be obtained from RegAIA AND NCARB DEFIN IT ION O F
istered Providers conducting approved courses. Health,
“ H E ALT H , SAFET Y, AND WELFA RE ”
Safety, and Welfare (HSW) is a term borrowed from the
building code, where it refers to protecting the “health,
Health, Safety, and Welfare (HSW) in architecture is
anything that relates to the structural integrity or
safety, and welfare” of the general public through buildsoundness of a building or building site. A course must
ing regulations. In the AIA/CES system, the term is
meet three primary criteria:
carefully defined and has been expanded to include topics such as design, urban planning, all types of regula1. Course content must directly support at least one of
tions, ethics, finishes, furnishings, historic preservation,
the definitions of HSW:
insurance, and other legal considerations to protect
• Health: Aspects of architecture that have salutary
owners and the general public. NCARB’s Model Law
effects among users of buildings or sites and
and Model Regulations definition of HSW was aligned
address environmental concerns.
with the AIA/CES definition in 2011.
• Safety: Aspects of architecture intended to limit or
• Learning Unit/Health, Safety, and Welfare/Sustainable
prevent accidental injury or death among users of
Design (LU/HSW/SD): Implemented as a pilot prothe buildings or sites.
gram to track sustainable design (SD) as a subset of
• Welfare: Aspects of architecture that engender
demonstrable positive emotional responses
HSW credits. This pilot program was introduced to
among, or enable equal access by, users of
encourage education in and application of sustainable
buildings or sites.
design principles. Sustainable design is becoming
2. Content must include one or more acceptable HSW
increasingly mainstream, with the term evolving to
topics from a lengthy list.
mean high-performance building design and other
3. At least 75 percent of the course content must pertain
applications of environmentally responsible design. It
to HSW.
is expected that the AIA will allow the SD credit to
sunset at the end of 2012.
AIA/CES Minimum Requirements
As of 2012, AIA architect members are required to complete a minimum of 18 credits
of continuing education per calendar year for membership renewal. Of those 18 LU
hours, at least 12 hours are to be in health, safety, and welfare (HSW) topics. Of those
12 HSW hours, at least 4 hours must be on topics related to sustainable design (SD),
as illustrated in Figure 3.5.
It should be noted that while a transcript meeting minimum requirements would
show 18 total credits with 12 LU/HSW credits and 4 LU/HSW/SD credits, these
requirements could be met in a variety of ways. For example, all 18 credits could be
LU/HSW/SD. Or 18 credits could be made up of 6 LU/HSW/SD, 6 LU/HSW, and
6 general LU credits.
The AIA will continue to require more than the NCARB suggested minimum of
12 credits for its members. Part of the motivation for this requirement is to clearly
elevate the knowledge base of AIA member architects, creating a distinction from those
architects who are not AIA members. Primarily, AIA wants to encourage members to
continually acquire diversified professional knowledge. Non-HSW topics such as practice management and architectural history strengthen an architect’s practice and the
profession.
96
Career Development
HSW
HSW
SD
HSW
SD
HSW
SD
HSW
SD
HSW
HSW
HSW
HSW
LU
LU
HSW
HSW
LU
LU
LU
LU
PA R T 1 : T H E P R O F E S S I O N
HSW
AIA/CES
FIGURE 3.5 AIA/CES Minimum Requirements
Self-Repor ting
Effective January 2012, the CES program no longer permits LU/HSW or LU/
HSW/SD credits to be self-reported. NCARB and most states’ MCE requirements
also do not permit HSW credits to be self-reported. Self-reported education can be
either self-guided (such as taking a tour of an architecturally significant building or
reading an architectural book or by taking a course of any type from a nonregistered
provider). Both AIA and NCARB have significant concerns that this type of learning
is nonstructured, is not led by a knowledgeable source, and that the learning is not
verifiable.
Another challenge relating to self-reporting is that many architects attend commercially oriented classes offered by vendors, often about proprietary systems. These
sessions, while educational, are often primarily oriented toward sales. While there is a
need for practitioners to understand products and building systems in architecture,
these sessions do not qualify to AIA/CES credits because they are not impartial, do not
offer reliable knowledge, and are often not presented in an education-oriented environment. For example, a firm may be designing a high-rise around a manufacturer’s
proprietary curtain-wall system and invite the manufacturer to come in to help them
work on details and specifications for that system. This kind of activity will not qualify
for AIA/CES self-reporting credits.
P ROV I DERS
AIA/CES Providers are organizations or individuals that have been approved by AIA/
CES to offer continuing education in architecture, within the guidelines of the AIA/
CES Provider Manual. In 2012, there were over 2,300 registered AIA/CES providers
representing a wide diversity of interests in the profession. Approved Providers include
architecture firms and stakeholders in design and construction, including associations,
government agencies, product manufacturers, and universities. In addition, local and
regional AIA Components, AIA National in-house departments, and AIA knowledge
communities are also Registered Providers.
There are numerous design- and construction-related associations that are Registered Providers. These include the Construction Specifications Institute (CSI), the
International Interior Design Association (IIDA), the American Concrete Institute
(ACI), the American Institute of Steel Construction (AISC), and the Building Envelope
Council (BEC).
There are a few large organizations, such as Hanley-Wood, that are Registered
Providers. They provide courses across the country and conduct national conventions.
There are several categories of providers to reflect the format and geographic reach
of educational classes that a Registered Provider will offer. For example, the Basic
Provider category permits only face-to-face, on-site learning, while providers in the
Passport and Professional categories are authorized to offer face-to-face and distance
learning courses both nationally and internationally.
3.4 AIA Continuing Education System
97
PA R T 1 : T H E P R O F E S S I O N
The Architecture Firm Provider–Internal category permits architecture firms to
conduct classes and provide credits for their firm members only. An Architectural Firm
Provider–External status will allow firms to also educate non-firm members, a group
that may include clients, members of another firm that are collaborating on a project,
or other members of the local architecture community.
Distance Education
Distance education is a fast-growing sector of the AIA/CES program. The number of
courses registered and credits applied for distance education has been rising steadily
and represented about 35 percent of all AIA/CES registered programs in 2012.
Distance learning includes courses offered online, via written correspondence (for
example, published articles), podcasts, webinars, and other non-face-to-face types of
educational offerings. To validate that learning actually takes place with distance education, a test is required with LU/HSW courses.
AIA/C E S E V O LU TI O N
The AIA/CES program is a relatively new requirement, especially compared to continuing education programs for other professions such as attorneys, doctors, dentists,
and engineers. As a new program, it will continue to evolve as it matures and in response
to changes in the profession. Although initially developed primarily as a membership
requirement since only a few states had mandatory continuing education requirements
at the time, the AIA/CES program has become the AIA member’s primary Continuing
Education tracking system for state licensure renewal requirements.
In 2012 the Discovery system added quarterly reports of member AIA/CES credit
status, including a listing of the experience level category of the courses completed, when
applicable. A quarterly e-mail notification of credit status will provide members with
both numeric and bar graph information on the annual number of credits by type that
they have accumulated. This e-mail will also provide information about carryover credits and a notice of congratulations when the minimum AIA requirements have been met.
There will also be information and links to local course offerings, the local component,
and CES Discovery. This notification may soon also be able to report MCE continuing
education renewal status to members for the various states in which they are licensed.
The AIA/CES program is also evolving with the introduction of course experience
levels: basic, intermediate, and advanced. This has been a feature of the programs at
the AIA National Convention, and soon all courses will be classified in these three
categories. In the early years of the AIA/CES program, many members were content
with simply fulfilling their minimum credit requirements. Classes were often offered
at a level of basic education to appeal to the broadest and largest audience. Over the
years, the demand for more advanced and higher levels of classes has driven this change
toward classification by experience level. The proliferation of Registered Providers and
registered course offerings has allowed architects to be more selective and have higher
expectations of the courses they choose to attend. This trend will continue, and the
basic, intermediate, and advanced categories of courses will help members be more
selective in their education. This trend will also drive education to reach beyond fulfilling minimum mandatory continuing education requirements to lifelong learning,
wherein attendees establish learning goals based on firm strategic objectives and the
needs of individual professionals.
LIF ELON G LE A R N I N G
Lifelong learning is different from meeting licensing or association membership
requirements. Lifelong learning goes beyond the minimum baseline to support professional needs and goals. It is a commitment, over a sustained period, to acquire the
desired and needed education regardless of the credits offered.
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Career Development
PA R T 1 : T H E P R O F E S S I O N
Lifelong learning can be focused on a single, specialized topic, such as the design
of a unique building type like assisted living centers. More often an architect will have
multiple learning emphases over the course of their career as interests, specialties, and
skills continue to evolve and develop. It is a quest to improve one’s professional knowledge and ability to deliver excellent projects. A member seeks out education and learning to achieve those goals. The AIA/CES program plays a role in this quest, but most
architects find that they need far more than the minimum educational requirements to
succeed in the profession, and to serve an innate drive to continually grow and learn.
The rewards of lifelong learning are many. By engaging in continuous learning, architects remain invigorated in their careers and about their profession.
F or Mor e I nf o r m ati o n
AIA/CES Discovery: http://aia.learnflex.net/users/index.aspx.
The AIA/CES Provider Manual: http://aia.org/aiaucmp/groups/aia/documents/pdf/
aiab082195.pdf.
The AIA/CES Member Manual: http://aia.org/aiaucmp/groups/aia/documents/pdf/
aiab091686.pdf.
Architect’s Essentials of Professional Development (Wiley, 2003) by Jean R. Valence.
3.5
Participating in Professional
Organizations
Shannon Kraus, FAIA, ACHA, MBA, and Amaya C. Labrador,
Assoc. AIA, EDAC
Getting involved in professional organizations can be a key activity in an
architect’s professional development, as well as a great way to explore passions
and contribute to the profession of architecture.
P
rofessional organizations are a vital part of most professions and this is especially
true with architecture. From the American Architectural Foundation (AAF) to the
National Organization of Minority Architects (NOMA) to the National Council
of Architectural Registration Boards (NCARB), professional organizations are a way
to give a voice to members and constituents that share a common cause, to organize
around an issue, or to serve as a vehicle for setting policy. Such organizations can focus
internally on the governance of the profession or interest groups within it, or they can
focus externally to provide outreach to communities and the public at large.
Participating in professional organizations is a great way to supplement professional growth, explore passions, and contribute to the development of the profession
of architecture. However, it is difficult to get involved without understanding the organizations’ purpose or how they are organized. By understanding the context within
which organizations work, how they are organized, and their history, an architect,
intern, or student can identify the type of organization that fits their personal interests
and ambitions and make the most out of these opportunities.
Becoming actively engaged with
civic, cultural, and professional
organizations puts an architect in
direct contact with community leaders who are policy-makers and
potential clients. Such civic engagement enhances the architect’s likelihood of being called upon to
assume leadership within the communities where planning, design,
and building decisions are made.
—Ted Landsmark, M.Env.D., J.D.,
Ph.D., president, Boston Architectural
College, 2013 president, NAAB
Shannon Kraus is a senior vice president and managing director of the Washington, D.C.,
office of HKS. In addition to his roles in the practice, he has been involved nationally, regionally, and locally in various architectural organizations. Amaya C. Labrador is a planner and
researcher for the Washington, D.C., offices of HKS.
3.5 Participating in Professional Organizations
99
H ISTORY
PA R T 1 : T H E P R O F E S S I O N
For centuries, guilds have united craftsmen of a common trade. Historically, they operated with a charter or letters patent appointed to them by the governing authority. The
guilds allowed knowledge to be controlled. By controlling the supply of labor, guilds
were able to control the market, regulate wages, and safeguard working conditions.
Some also maintained funds for elderly or infirm members and their families or for
travel to find work, functioning as a sort of insurance. In addition, some guilds required
apprenticeships that made it difficult to enter a field without their support. However,
as modern economic principles spread, guilds began to be regarded as obstacles to free
trade and their power began to fade.
The professional associations, as they are known today, came to be during the
Industrial Revolution. Although modern trade or professional organizations have much
in common with the historic guild system, today’s professional organizations do not
seek to control an industry within a geographic area, but rather provide support for its
members or constituents and further commercial interests through setting policy or
direction. By the end of the nineteenth century several associations were wellestablished, including the American Institute of Architects (1857), the American Bar
Association (1878), the American Medical Association (1847), and the American
Association of Public Accountants (1887).
TYPES OF O R GA N I Z ATI O N S
The most common question asked about professional organizations is, where or how
do you begin to get involved? Most individuals entering the profession are generally
aware of the higher-profile organizations. However, it is important to be aware of all
the possibilities, including the lesser-known ones. This article won’t cover every organization in existence, but it will cast a wide net. It is almost a certainty that there is an
organization or committee within an organization that is suited for every architect and
their passions.
Before discussing how to participate in a professional organization, it is important
to understand the subtle differences among them. There are many organizations, each
serving specific interests, needs, or segments of the profession. Although it might be
initially daunting, finding the right fit and becoming engaged is very rewarding.
In defining the various types of organizations, the purpose is not to singularly categorize or silo them, but to help draw distinctions between the inherent missions that
set them apart so individuals can find the groups that are right for them based on their
own interest or what they may be looking to get out of their involvement. In many
cases an organization will have components that serve each of the categories discussed
below. For the purposes of this article the distinction, as subtle or controversial as it
may be, is based on the actual mission of the organization, regardless of its programs
or initiatives.
In the course of their development, three basic types of professional organizations
have evolved:
• Constituency-based, which focus on serving a membership or representing a
constituency
• Cause-based, which focus around a particular issue or cause to be addressed
• Knowledge-based, which exist to promote or serve a particular area of expertise
While many organizations will blur the lines across all three types, the distinction
lies in how their mission statements are written and how their boards are organized to
serve. The American Institute of Architects (AIA), for example, has knowledge communities focused on knowledge sharing, and sustainability committees focused on the
sustainability cause. However, at its core, it is a constituency-based organization as
defined by its mission to serve the best interests of its membership.
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Career Development
Constituency-Based Professional Organizations
Our students and faculty care
deeply about the environment,
building communities, and the
world’s condition. Through publications, academic conferences, and
communication vehicles, ACSA
aims to further dialogues that
advance architectural education,
and so improve our collective path
forward.
—Donna V. Robertson, FAIA, 2012
ACSA President
Professional Development
Typically, professional development is a core part of constituency-based organizations. Although the specific format may vary, most organizations offer programs
centered on continuing education, knowledge sharing, networking, and also awarding honors and recognitions. Some organizations are focused internally, on their
own constituents. The AIA, for example, assists its membership in professional
development through its continuing education programs. On the other hand,
NCARB’s professional development programs (like the Intern Development
Program) are focused externally. They are performed on behalf of the member
State Boards, and they serve individuals who are not themselves members of
NCARB.
• Continuing education is one of the largest vehicles for professional development.
Programs can include annual conventions, topical workshops, and self-guided and
online learning formats.
• Knowledge sharing, a form of knowledge-based networking, is also a vehicle for
professional development. Within the AIA, knowledge communities exists, each
focused on their own specialized knowledge area. Through these, groups of members come together in pursuit of this common knowledge area. Other organizations,
like the ACSA, will host annual meetings where individuals may present research or
white papers on emerging trends and topics.
• Of all the organization types, mentoring is most prevalent in constituency-based organizations. Although
E XA M P LE S O F CO N S TITU EN CY-B A SE D
some mentoring relationships happen informally, some
O RG A N IZ ATIO N S
organizations have formalized programs that assign
mentors and mentees based on location and common
The American Institute of Architects (AIA)
interests. These efforts generally include a structured
American Institute of Architecture Students (AIAS)
program that includes scheduled meetings, online
activities, and participant receptions.
Association of Architecture Organizations (AAO)
• Awarding honors and recognitions is also a way to
Association of Collegiate Schools of Architecture
encourage professional development through honoring
(ACSA)
achievements, milestones, significant contributions, and
National Council of Architectural Registration Boards
other noteworthy accomplishments of the constituents
(NCARB)
they serve. In the AIA, the AIA Gold Medal, Firm of the
National Organization of Minority Architects (NOMA)
Year, and Fellowship programs are all examples of this.
Association for Women in Architecture + Design (AWAD)
The American Institute of Architecture Students (AIAS)
honors its Chapters, and the ACSA awards the Topaz
Society for Design Administration (SDA)
Medallion in conjunction with the AIA.
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Constituency-based organizations exist to serve the best interests of their membership.
It is embedded in their mission statements and governance bylaws. It is through their
membership that they then also typically have a higher calling, such as protecting the
welfare of the public, advancing architecture, or creating healthy communities. These
callings may stay the same or evolve as the membership’s interests evolve. It is important to recognize that there are different types of constituency-based organizations and
to be able to distinguish them. The most obvious are those that have fee-paying members, like the American Institute of Architects or National Organization of Minority
Architects.
Other constituency groups are those that represent organizations or key stakeholders. For example, NCARB represents State Registration Boards, each of them with
their own jurisdiction. Their higher calling is the protection of the public health, safety,
and welfare through the regulation of the practice of architecture. The Association of
Collegiate Schools of Architecture (ACSA) represents their member institutions, which
are linked by their shared role in architecture education.
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Advocacy
Advocacy is often central to helping constituency-based organizations achieve their
missions. The type of advocacy can vary greatly and may range from political action
committees to policy making to social issues. The common thread is that the issue or
item being advocated is of benefit or of direct interest to the organization’s
membership. AIAS focuses a lot of significant resources on representing and advocating student issues to the AIA, NCARB, ACSA, and other professional organizations.
One of its biggest initiatives was the “Studio Culture Policy” that has since been
adopted by all its collateral organizations and is now a key part of the conditions for
architectural accreditation enforced by the National Architectural Accrediting Board
(NAAB).
Cause-Based Professional Organizations
Members want to be involved with
the Green Building Initiative
because they have a voice in
helping set direction in this everevolving green building industry.
—Sharene Rekow, VP Business
Development, GBI
Cause-based organizations are very much professional organizations, but rather than a
focus on serving the best interests of a constituency group, their mission is the pursuit
or advocacy of very specific issues or topics. These vary greatly in organizational
structure, and may even have categories of membership where people interested can
join the cause, while also contributing financially. The distinction here is that the organizations don’t exist to serve their members but rather they often have members to
serve the cause, while providing a framework to help rally members to their mission.
Cause-based organizations are often structured as nonprofits and may rely on donations and fund-raisings to serve their cause.
Cause-based organizations include groups like the Green Building Initiative,
seeking to offer the marketplace a choice in sustainability; or others like
most of the architectural foundations, which seek to promote architecture in various communities. This is a subtle distinction from the AIA, in that they serve
architecture, not architects. The American Architectural Foundation (AAF) is the
largest of these and has many great programs, including one that promotes
architecture education and awareness in elementary schools. Many cities have
local or regional architectural foundations as well (independent of the AAF),
which serve a similar mission and are often a collaborative effort of the local
AIA chapter, community leaders, and area schools.
Professional Development
E XAM PL ES OF CAUSE- B ASE D
OR G ANIZAT ION S
American Architectural Foundation (AAF)
Architects/Designers/Planners for Social Responsibility
(ADPSR)
Architects without Borders
Architecture for Humanity
Beverly Willis Architecture Foundation
Centers for Architecture:
• The Architectural League of New York
• Center for Architecture Foundation
• Chicago Architecture Foundation (CAF)
• Dallas Center for Architecture
Public Architecture
Green Building Initiative (GBI)
U.S. Green Building Council (USGBC)
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Professional development will happen within these organizations as well, but the organizations are almost always
centered on external programs with the goal of promoting
awareness or building support for their cause. The AAF
and the local architectural foundations will offer speaking
programs, seminars, tours, and even honors and awards to
recognize outstanding achievements of volunteers that
make significant contributions toward these issues.
Advocacy
Advocacy is a big part of cause-based organizations. They
differ from constituency-based organizations in that they
lobby for their cause. These activities can consist of formal
lobbying, political action, or organizing advocacy-based
conferences, workshops, and retreats. They also often
organize events that serve as both advocacy and fundraising. For example, the AAF holds Accent on Architecture each year to celebrate architecture, honor the
contributions of those making a difference, and to raise
money for scholarships, outreach, and programs.
Knowledge-Based Professional Organizations
My involvement with the Guidelines
and FGI (Facility Guidelines Institute) provides me the equivalent of
a Master’s degree in health care
design every four years. No matter
how much time I put into the development of each edition of the
Guidelines, I get more out.
—Kurt Rochstroh, FAIA, FACHA, FGI
Professional Development
Knowledge-based organizations typically offer robust continuing education programs,
which can include conferences, lectures, workshops, tours, articles, white papers, and
online seminars. Many of these organizations focus a lot of energy on distributing and
sharing knowledge through their websites, newsletters, and other avenues.
Most knowledge groups will also offer various types of certificates or awards and
recognition programs that denote expertise in the particular field.
One of the things that make knowledge-based organizations so attractive to participation is that regardless of your particular interest area within the profession of
architecture, there is a group of like-minded individuals to network and learn with.
From hospitality to justice to biomed life sciences, there is something for every
architect.
Advocacy
Advocacy activities vary among the particular organizations, but often there is a central theme. The Facilities
Guidelines Institute advocates for guidelines in health care
construction both within the industry as well as through
legislative channels. The Construction Specifications Institute advocates specification standards nomenclature and
documentation standards. What is common to all is that
advocacy is a powerful and productive way for knowledgebased organizations to leverage their members in order to
build awareness for work, to help with fund-raising, or to
help promote use of their specialized knowledge areas.
E XA M P LE S O F KN O WLE D GE -B ASE D
O RG A N IZ ATIO N S
American College of Healthcare Architects (ACHA)
Construction Specifications Institute (CSI)
The Center for Health Design (CHD)
Facility Guidelines Institute (FGI)
Urban Land Institute (ULI)
G E T T I N G I N VOLVED
In all of these organizations, there is no shortage of help needed, and most of the organizations struggle with converting individuals from mailbox members (the couch) to
active members (going to the gym). Although it is easy to find a niche and get involved,
there may be roadblocks during the couch-to-gym transformation.
The first roadblock is with understanding how to get involved. This can be overcome
simply by reading about the organizations on their websites and by communicating with
others who are already involved. The second big roadblock might be a general dissatisfaction with the direction of the organization in which a person is most interested.
AIA membership is like a gym
membership. You can go, get
involved, and get a lot of benefit.
Or, you can sit on the couch, not
get any benefit at all, and complain
about the dues. You really get out
of it what you put into it.
—John Senhauser, FAIA
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Knowledge-based organizations differ from the previous two types in that they are
focused around a particular area of knowledge, not just a cause or its members. They
also often will take on advocacy, but it is in the pursuit of their knowledge area, so again
it comes down to their official mission. They may be membership-based or volunteerbased and may also be nonprofits. The Urban Land Institute (ULI) and the Construction Specifications Institute (CSI) are examples of knowledge-based organizations.
One of the more widely known knowledge organizations is the Construction Specifications Institute. The CSI not only sets the standard for construction specifications
but also offers multiple certification programs that quantitatively evaluate area of
expertise. Other groups that offer certifications include the American College of
Healthcare Architects (ACHA) through their board certification, and the Center for
Health Design through its EDAC program.
Some knowledge-based organizations reside within other parent organizations.
This is the case with most of the knowledge communities that reside under the
umbrella of the AIA. These include committees on design, practice management, environment, and architecture for education; in all, there are more than twenty knowledge
committees within the AIA.
PA R T 1 : T H E P R O F E S S I O N
It is therefore important to understand that organizations by their very nature are
living, evolving entities that are defined by those who get involved, as well as those who
choose not to. This is no different for professional organizations. They are peopledriven entities and, further, they collectively mold the profession and shape the public
perception of architects. Getting involved is a way of shaping the direction an organization takes in its development. Those who are unhappy with a policy or movement
can and should get involved, in order to help shape that policy or refine that movement.
Instead of criticizing something while not being a part of it, join, work to change the
organization, and get more personal fulfillment along the way.
Professional organizations are about pulling together like-minded individuals who
share common interests or goals. Joining, attending, or participating in them is a great
way to stay in the loop; learn about the local industry; stay up to date with emerging
technologies, trends, and issues; and network. Whether for networking or for a social
cause, choosing where and how to participate should be done based on interests, as well
as professional and personal goals.
Identify Interests
The first rule of engaging in professional organizations is to understand that involvement is most enjoyable if it aligns with personal and professional interests. Interests
could be an issue, like sustainability; or it could be joining a network for professionals
facing similar challenges, like one of the many local women in architecture organizations or identity groups. You should also receive something of value in return—whether
personal enrichment, professional development or advancement, public service, or
something else.
How to Get Involved
Get involved by helping aspiring
architects build a future in the profession. Become an IDP Coordinator, mentor, or supervisor; serve as
a volunteer on an NCARB committee or state licensing board; or simply help guide others along the
path to licensure.
—Michael J. Armstrong, CEO,
NCARB
Within each organization there are various ways to get involved. Locally, chapters host
meetings, continuing education seminars, special interest events, public service programs,
and networking events, among others. Participation in these events is a good way to stay
connected to the local market, as well as a gateway to the larger national organizations.
Typically, organizations offer member discounts to those activities that require a fee.
The larger entities, such as the national component of the American Institute of
Architects (AIA), hold yearly national conventions. Held in a different location every
year, they usually require travel, but provide great opportunities through their concentrated offering of continuing education seminars, roundtables, galas, and receptions
that are great for networking, as well as local tours and often just-for-fun events.
Another great way to stay connected is to participate virtually. Most organizations
keep frequently updated web pages with news, upcoming events, and participation
opportunities, and send out regular e-newsletters. Member resources can often be
accessed through web pages, like the AIA’s KnowledgeNet. The KnowledgeNet website is an interactive repository for resource sharing, networking, and discussion forums,
structured around subject-specific Knowledge Communities.
Social media can also be a valuable connection tool: Following an association’s
Facebook page or Twitter account will add their news to your newsfeed; joining their
group on LinkedIn provides access to ongoing, member-led discussions as well as
related job postings.
Levels of Par ticipation
There are different “levels” of participation: for example, joining the AIA is a matter of
meeting the requirements and paying your dues, which gives you the right to place
“AIA” or “Assoc. AIA” after your name. However, the real value comes from taking
advantage of AIA resources, attending the continuing education seminars, special
events and tours, classes, ARE prep courses, and networking events.
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One of the first steps is attending an organizational meeting or event and participating. Most who volunteer will be inspired by their passions or the opportunity to
work with someone they respect. There are typically opportunities to participate at the
local chapter as well as the national level. Organizations generally look for local members to volunteer for conventions and events, often giving discounts or other incentives
in return. Many volunteer to serve multiple positions in the same organization over
time, and in some cases leadership positions and director boards are usually staffed by
volunteers. For example, members from the five collateral organizations form part of
the visiting teams for NAAB accreditation visits, and the AIA, ACSA, NCARB, and
AIAS have representative members of their organizations on the NAAB Board of
Directors. Some organizations form special committees around an area of interest,
such as the AIA’s Young Architects Forum (YAF) or the National Associates Committee
(NAC); these groups address the issues and interests of a specific subset of the organizations’ membership.
Membership Benefits
Membership and participation in organizations have several benefits: education on
emerging trends, publications, networking, conferences, product discounts, leadership
development, and mentoring.
In addition to providing access to third-party resources, some professional associations perform and publish their own research regarding trends, or issue reports
analyzing industry and market developments. These may be disseminated through
the association’s website or through their trade journal, newspaper, magazine, or
newsletter.
Some organizations operate structured mentoring programs or offer matchmaking
services for mentors and mentees; participating in these grants emerging professionals
access to a seasoned professional and their experience. Within the AIA, the College of
Fellows often works with the Young Architects Forum in a mentoring capacity. Other
organizations will use mentors to help younger members achieve advanced status or
honors. It is worth noting that taking on leadership roles and serving on committees
as a volunteer also contribute toward mentoring and professional development. These
provide members a way to pay it forward to the profession.
Finally, membership may make you eligible for discounts and reduced rates, not
only for events produced by the organization itself but also for consumer products and
services. For example, AIA’s program AIA Advantage offers discounts on shipping services, software, insurance services, and others.
It wasn’t until I joined CSI that I
really started understanding building materials, construction technology, and the process of getting
something built. Every successful
building is the result of a team
effort. CSI is where I get to know
my teammates.
—Daniel Hargreaves, CSI, CDT, AIA,
RAS
PA RT I AL LI ST OF PROF ESSIONAL OR GA N I Z ATI O N S
SHA PI N G T H E PROF ESSION
It would be nearly impossible to list all of the organizations that relate to the profession
of architecture; it is also difficult to suggest that some are somehow more important
than others. Each organization serves an important cause, advocates for an important
issue, or represents a critical constituency and therefore helps shape the profession of
architecture. However, there are several that are particularly important to know
because they influence the practice of architecture directly.
The Five Collateral Organizations
Within the profession of architecture, each of the five collateral organizations plays a
complementary role, addressing issues of advocacy, education, licensure, and practice.
The five collaterals are: The American Institute of Architects (AIA), the American
Institute of Architecture Students (AIAS), the Association of Collegiate Schools of
Architecture (ACSA), the National Architectural Accrediting Board (NAAB), and the
National Council of Architectural Registration Boards (NCARB).
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AIA: The American Institute of Architects
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The AIA was founded in 1857 by a group of 13 architects; according to its bylaws, the
AIA’s purpose is “to organize and unite the profession in fellowship; to promote the
profession of architecture including its aesthetic, scientific, and practical efficiency; to
advance the science and art of planning and building; to coordinate the building industry; and to make the profession of ever-increasing service to society.”
Currently, the AIA provides many services to the architecture profession, among
them sponsoring continuing education programs, setting industry standards for contract documents, providing resources for emerging professionals, conducting market
research and analysis of factors affecting the profession, and advocating for the architecture profession.
Nationally, the AIA is governed through an elected Board of Directors, which
includes representatives from each of the 18 defined regions. Locally, the AIA is organized into components (previously known as “chapters”), which may be state- or
locally-based and through which individual membership is established. Special committees or groups within the AIA focus on particular issues and provide opportunities
for participation: the Young Architects Forum, the National Associates Committee, the
College of Fellows, and the yearly AIA National Convention.
AIAS: American Institute of Architecture Students
The student-run AIAS serves as the official voice of architecture students in North
America, furthering its mission of promoting excellence in architecture education,
training, and practice, fostering an appreciation of architecture and related disciplines,
enriching communities in a spirit of collaboration, and organizing students and combining efforts to advance the art and science of architecture.
AIAS is divided into four geographic “quads,” which serve to facilitate communication between the institution-based chapters and the Board. Current AIAS activities
include the AIAS journal Crit, the national convention (FORUM), Quad Conferences,
the Freedom by Design™ program, as well as numerous activities organized by individual chapters. In addition, representatives from AIAS participate on the National
Architectural Accrediting Board’s Board of Directors and on the NAAB teams which
visit institutions for accreditation, as well as on the Association of Collegiate Schools
of Architecture’s Board of Directors, the AIA’s Board of Directors, and some NCARB
committees.
ACSA: Association of Collegiate Schools of Architecture
With the primary purpose of advancing architecture education through the support of
its member schools, faculty, and students, the Association of Collegiate Schools of
Architecture represents over 250 schools. Founded in 1912, the ACSA engages in multiple activities, including faculty awards and student competition programs, conferences, and publications such as the Journal of Architectural Education and ACSA News, as
well as developing and supporting studies on issues affecting the architecture profession and architecture education.
NAAB: National Architectural Accrediting Board
The National Architectural Accrediting Board was established in 1940 by the Association of Collegiate Schools of Architecture, the American Institute of Architects, and the
National Council of Architectural Registration Boards, eight years after the ACSA abandoned the “standard minima” needed by schools in order to be granted membership.
Today, the NAAB “develops and maintains a system of accreditation in professional
architecture education that is responsive to the needs of society and allows institutions
with varying resources and circumstances to evolve according to their individual
needs.” It is the only agency in the United States authorized to accredit professional
degree programs in architecture.
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The Board of Directors has 14 members: 3 members each from ACSA, AIA, and
NCARB, 2 members from AIAS, 2 public board members, and 1 Executive Director.
Accreditation decisions that are made by the Board rely on school visits performed
by a rotating pool of volunteers who evaluate the programs based on established
criteria.
NCARB: National Council of Architectural Registration Boards
The National Council of Architectural Registration Boards is a nonprofit corporation comprising the legally constituted architectural registration boards of the 50
states, the District of Columbia, Guam, Puerto Rico, and the U.S. Virgin Islands as
its members. Founded in 1919, NCARB protects the public health, safety, and welfare by leading the regulation of the practice of architecture through the development and application of standards for licensure and credentialing of architects.
NCARB provides a range of important services to the profession, such as developing
and administering the Intern Development Program (IDP), the Architect Registration Examination® (ARE®), and NCARB certification, which facilitates reciprocal
registration.
Additional Organizations
The organizations listed in Table 3.2 are intended to be a representative sample of the
many diverse organizations that exist in their respective fields. There are numerous
other associations, each with their own opportunities for participation, learning, and
networking. For a more exhaustive list, please see the latest edition of the Almanac of
Architecture and Design.
TABLE 3.2 Key Organizations
Name
Acronym Founded Focus
Website
Constituency-Based Professional Organizations
Association of Collegiate
Schools of Architecture
ACSA
1912
Education and
Educators
www.acsa-arch.org
American Institute of
Architects
AIA
1857
Practice
www.aia.org
American Institute of
Architecture Students
AIAS
1956
Education
www.aias.org
American Society of
Interior Designers
ASID
1975
Interiors
www.asid.org
Beverly Willis Architecture
Foundation
BWAF
2002
Women in
Architecture
http://bwaf.org/
International Interior
Design Association
IIDA
1994
Interiors
www.iida.org
National Architectural
Accrediting Board
NAAB
1940
Education
www.naab.org
National Council of
Architectural Registration
Boards
NCARB
1919
Licensure
www.ncarb.org
National Organization of
Minority Architects
NOMA
1971
Profession and
Practice
http://noma.net
Union of International
Architects
UIA
1948
Practice and
Architects
www.uia-architects.org
(continued)
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107
TABLE 3.2 (Continued)
Name
Acronym Founded Focus
Website
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Cause-Based Professional Organizations
American Architectural
Foundation
AAF
Architecture for Humanity
The Green Building
Initiative
GBI
Public Architecture
U.S. Green Building
Council
USGBC
1943
Architecture
www.archfoundation.org
1999
Public Service
www.
architectureforhumanity.org
2004
Sustainability
www.thegbi.org
2002
Public Service
http://www.
publicarchitecture.org/
1993
Sustainability
www.usgbc.org
Knowledge-Based Professional Organizations
American College of
Healthcare Architects
ACHA
1986
Healthcare
Architecture
www.healtharchitects.org
Association for Computer
Aided Design in
Architecture
ACADIA
1981
Digital Technology
and Research
www.acadia.org
The Construction
Specifications Institute
CSI
1948
Construction
www.csinet.org
Design-Build Institute of
America
DBI
1993
Construction
www.dbia.org
Facility Guidelines
Institute
FGI
1998
Construction
www.fgiguidelines.org
1997
Research,
Science, Health,
and Culture
www.designandhealth.com
1974
Research
www.nibs.org/
International Academy
For Design and Health
National Institute of
Building Sciences
NIBS
AAF: American Architectural Foundation
Headquartered in Washington, D.C., the nonprofit American Architectural Foundation (AAF) seeks to educate and inspire “elected officials, educational leaders, and other
public-spirited decision makers to use design to create better communities.” To achieve
this, the AAF assembles design teams and connects them to community and government leaders, whose decisions have the ability to shape our communities. The AAF’s
programs include the Mayors’ Institute on City Design, the Sustainable Cities Design
Academy, and Great Schools by Design.
ACHA: American College of Healthcare Architects
The American College of Healthcare Architects offers board certification within the
specialized field of healthcare architecture. The nonprofit organization recognizes
four classes of certificate holders: Founding Affiliate, Affiliate, Fellowship, and Emeritus. Architects can apply to the Affiliate level if they have been licensed for at least
five years, have practiced primarily in the healthcare field for at least three of those,
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and have passed the Board Certification examination. Affiliates are eligible to be
nominated for Fellowship by a fellowship committee after five years of exemplary
performance.
PA R T 1 : T H E P R O F E S S I O N
ASID: American Society of Interior Designers
The American Society of Interior Designers is the largest professional organization for
interior designers. Although ASID was officially founded in 1975, its history predates
that, through its predecessor organizations: the American Institute of Interior
Designers and the National Society of Interior Designers. It is “committed to the belief
that interior design, as a service to people, is a powerful, multifaceted profession that
can positively change people’s lives. Through education, knowledge sharing, advocacy,
community building and outreach, the Society strives to advance the interior design
profession and, in the process, to demonstrate and celebrate the power of design to
positively change people’s lives.”
ASID represents more than 18,000 practicing interior designers and 10,500 interior design students through its 48 local chapters. Professional members must possess
an accredited design education or work experience, and pass the accreditation examination administered by the National Council for Interior Design Qualification
(NCIDQ).
Architecture for Humanity
Founded in 1999, Architecture for Humanity is a nonprofit organization that seeks to
“promote architectural and design solutions to global, social, and humanitarian crises.”
The original Architecture for Humanity competition sought to build transitional housing to returning Kosovo refugees. The public interest generated both inside and outside the design communities through that competition, as well as the media exposure,
was translated into an organization that connects the talents and expertise of over
40,000 professionals with communities that would otherwise not have access to design
services. The organization counts community-based organizations, housing developers,
institutions, nongovernmental organizations (NGOs), and government entities as their
clients.
BWAF: Beverly Willis Architecture Foundation
The Beverly Willis Architecture Foundation (BWAF) was founded in 2002 by Beverly
Willis, FAIA, together with Heidi Gifford and architectural historians Diane Favro,
Ph.D., and Lian Mann, Ph.D., with the purpose of “advancing the knowledge and
recognition of women’s contributions to architecture.” Currently, the Foundation
offers a variety of programs that include museum programs, films, tours, industry
roundtables, internships, and research grants.
CSI: The Construction Specifications Institute
With the original purpose of improving the quality of construction specifications, the
Construction Specifications Institute was founded in 1948 by a group of government
specification writers. Evolving with the times, today CSI’s mission is to “advance building information management and education of project teams to improve facility performance.”
Current programs include a series of certification levels (CDT, CCS, CCCA,
CCPR), educational opportunities, the CONSTRUCT tradeshow, and the CSI Annual
Convention. Local chapters also host educational sessions and networking opportunities, among other activities. In addition, CSI administers three formats for construction
data organization: MasterFormat, GreenFormat and UniFormat. MasterFormat is an
organization system for building specifications; GreenFormat is a web-based tool that
standardizes construction products’ sustainability properties; and UniFormat arranges
information by systems, disregarding specific product selections. This allows for early
construction cost estimates, among other uses.
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DBIA: Design-Build Institute of America
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The Design-Build Institute of America brings together leaders in the design and
construction industry. Its membership comprises architects, engineers, owners,
contractors, manufacturers, suppliers, students, and faculty. Headquartered in
Washington, D.C., and established in 1993, the DBIA “promotes the value of
design-build project delivery and teaches the effective integration of design and
construction services to ensure success for owners and design and construction
practitioners.”
GBI: The Green Building Initiative
The Green Building Initiative’s mission is to “accelerate the adoption of building practices that result in energy-efficient, healthier, and environmentally sustainable buildings by promoting credible and practical green building approaches for residential and
commercial construction.” Originally created as a way to help bring sustainable building practices into the mainstream, the GBI also currently administers the Green
Globes® environmental assessment and rating tool in the United States, as well as their
professional certifications programs: Green Globes Professional (GGP) and Green
Globes Assessor (GGA).
GBI’s board of directors includes representatives from construction companies,
architecture firms, academic institutions, and industry representatives.
IIDA: International Interior Design Association
The International Interior Design Association was born in 1994 as the result of a
merger between the Institute of Business Designers (IBD), the International Society
of Interior Designers (ISID), and the Council of Federal Interior Designers (CFID).
Currently, the IIDA supports 13,000 members in 31 chapters worldwide through its
mission of creating “a strong niche for the most talented and visionary Interior Design
professionals, to elevate the profession to the level it warrants, and to lead the way for
the next generation of Interior Design innovators.”
NIBS: National Institute of Building Sciences
Authorized in 1974 by the U.S. Congress through the Housing and Community
Development Act, the National Institute of Building Sciences is a nonprofit organization that provides common ground where representatives of government, the professions, and industry and consumer interest groups can focus on shared problems that
affect the construction industry. The Institute serves as an authoritative source of information for both the private and public sectors.
NOMA: National Organization of Minority Architects
During the 1971 AIA National Convention in Detroit, 12 African-American architects
joined together to form the National Organization of Minority Architects. Founded in
recognition of the need to fight discriminatory policies that limited minority architects’
opportunities, NOMA currently “champions diversity within the design professions by
promoting the excellence, community engagement and professional development of its
members.”
Public Architecture
Public Architecture is a nonprofit entity that “puts the resources of architecture in the
service of the public interest.” Founded in 2002 by John Peterson of Peterson Architects, the organization launched “The 1%,” a program through which firms pledge
1 percent of billable hours to pro bono work. Through The 1% website, nonprofits in
need of design services and design firms participating in the program can connect with
each other. The program counts over 900 participating firms, which range from some
of the largest in the country to sole practitioners.
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USGBC: U.S. Green Building Council
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Committed to sustainability, the U.S. Green Building Council is a nonprofit organization based in Washington, D.C. Pulling together local affiliates, companies, organizations, and individuals, the organization seeks to “transform the way buildings and
communities are designed, built, and operated, enabling an environmentally and socially
responsible, healthy, and prosperous environment that improves the quality of life.”
Most notably, the USGBC administers the LEED® Green Building Rating System™,
but other programs include the LEED AP professional credentialing program, educational sessions, the Greenbuild International Conference and Expo, and advocacy for
sustainable policies and initiatives. Nationwide, the USGBC has 79 regional chapters.
F or Mor e I nf o r m ati o n
For a list of professional and related trade organizations in the design and construction
industry, see Appendix A: Allied Professional Organizations.
BACKGROUNDER
INTE R N DEVEL OPM ENT PROGRA M ( ID P )
COO R DINAT ORS PROGRAM
H arr y M . Fa lconer Jr., AIA, N CA RB
Serving as an Intern Development Program (IDP) Coordinator
provides a vital service to the profession by helping to educate
and guide emerging professionals along the path to licensure.
Harry M. Falconer Jr. is director of internship and education
for the National Council of Architectural Registration
Boards (NCARB). He joined the Council in 2006 and
assumed his current position in 2012. He is licensed to
practice in Virginia and holds the NCARB Certificate.
G IVING B A C K T O T H E PR OF E SS I O N
Architects and others—such as educators, firm administrators, career counselors, and even interns—looking for a way
to serve the profession and shape the next generation of
emerging professionals may wish to consider taking on the
role of IDP coordinator.
The IDP Coordinators Program provides an extensive
resource network that facilitates the flow of information to
emerging professionals. The collective knowledge of the coordinators offers a variety of perspectives on the profession.
These individuals often have the opportunity to be the first
introduction to the licensure process; as such, they play a
significant role in helping interns progress toward licensure.
VAL U E OF PA RT I C I PAT I ON
In addition to being of service to the profession, serving as
an IDP coordinator provides the opportunity to enrich one’s
own professional development.
Chance to “Pay It Forward”
IDP coordinators, whether they are volunteers or appointees,
are knowledgeable about the profession and well-positioned
to advise students and interns on navigating the path to licensure. Serving as a coordinator is a rewarding way to support
the next generation of professionals, since many coordinators feel they get as much back from the experience as they
give toward it.
Strengthening of Firm Culture and the Profession
Coordinators can help encourage a positive firm culture that
supports intern development. They know that growing future
leaders depends on helping interns make a successful transition from school to work and supporting them in their pursuit
of licensure. All levels of experience within a firm can benefit from the information exchange that takes place when
interns are an integral part of the firm. Helping emerging
professionals stay on track toward becoming licensed can
go a long way toward influencing success as a firm—and
as a profession.
Professional Development
Serving in an advisory capacity to emerging professionals
creates a significant opportunity to build leadership and
mentoring skills. The training and resources provided by the
National Council of Architectural Registration Boards
(NCARB) and the American Institute of Architects (AIA) can
further refine those skills and help coordinators successfully
fulfill their roles. Through their work as coordinators, individuals will also gain a deeper understanding of the licensure process as a whole as well as greater familiarity with
key requirements—knowledge that makes them an invaluable resource to the profession. Some coordinators have
gone on to play an even greater role in shaping the profession, such as serving on NCARB or AIA committees or taking on leadership roles within professional organizations
like AIA components or Society for Design Administration
(SDA) chapters.
(continued)
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Expansion of Professional Networks
The IDP Coordinators Program offers frequent opportunities
for collaboration among the extensive coordinator network
to share knowledge, resources, and best practices. In addition, many coordinators develop strong ties with both
NCARB and the AIA through their regular interactions.
Because coordinators need to be knowledgeable of overall
registration requirements in the states where they serve, they
often interact and develop relationships with state registration authorities as part of their ever-expanding professional
network.
RO L E S A ND R E SPON S I B I L I T I E S
The volunteers and appointees who serve as coordinators all
share the common responsibility of serving as a knowledgeable information resource for interns on the required components of licensure (education, experience, and examination).
Auxiliary Coordinators are volunteers that educate their
community about the IDP. Serving as an auxiliary coordinator
presents an opportunity to enhance one’s professional development and demonstrate leadership skills. Auxiliary coordinators are often associated with firms, local AIA components,
state boards, or American Institute of Architecture Students
(AIAS) chapters. Those located inside firms play a pivotal
role in shaping a positive firm culture that supports intern
development and in helping to ensure that interns have the
necessary resources and opportunities to progress through
the IDP and toward licensure. Interns themselves may choose
to serve as auxiliary coordinators, sometimes spearheading
initiatives that help strengthen and formalize their firm’s intern
development–related resources and processes.
Interns are consistently exposed to both formal and
informal individual discussions about their IDP progress. This allows us to tailor our efforts specifically to
each intern and provides an environment that is truly
conducive to mentorship.
—Architect and firm IDP [auxiliary] coordinator,
Richmond, VA
Educator Coordinators are appointed by the dean of
each architecture school with a NAAB-accredited professional degree program. This role serves as a conduit for students between school and the profession, helping students
understand requirements and how to get started on the path
to licensure. They are responsible for distributing information
and providing guidance to students at their school on the IDP
and other key components of licensure.
I post information on my website, a Facebook page,
and a Twitter account. I also include a lesson plan on
the IDP in my class, which includes bringing in an
architect that has gone through the licensure process.
— Educator coordinator, Northeastern University,
Boston
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State Coordinators are appointed by the AIA at the state
level. They are volunteers that stay up-to-date on the latest
information on the IDP, the Architect Registration Examination® (ARE®), and state licensing requirements, acting as
resources for interns and the larger architecture community
in their state. State coordinators often give presentations
and participate on AIA and NCARB committees related to
the IDP. They serve in a highly visible role, communicating
and collaborating with NCARB and with IDP support networks, including AIAS chapters, auxiliary coordinators,
local and national AIA components, the Young Architects
Forum (YAF) and National Associates Committee (NAC)
groups, and state registration boards. Those appointed to
this voluntary position will find many opportunities to hone
their leadership skills and make a positive contribution
toward the profession by helping emerging professionals
transition toward licensure.
[Our state] brings interns at various states of the
process together with licensed architects in smallgroup settings. It provides the framework and
guides small groups across the state in multiple cities and towns.
— State coordinator, Montana
S UPPORT AND R ES OUR C ES
The commitment by IDP coordinators to support students and
interns is backed by NCARB’s and the AIA’s commitment to partner with them, regardless of where in the 54 jurisdictions they
are located. NCARB and the AIA offer a host of resources that
aid IDP coordinators in executing their responsibilities:
• Training and networking through the IDP Coordinators
Conference
• Collaboration and knowledge sharing via access to a
web-based coordinator community
• NCARB training materials, including presentation tools for
use during events
• AIA National training materials, such as its mentoring
resources
• Staff support from NCARB and the AIA for assistance with
understanding programs, requirements, and opportunities
Additionally, IDP coordinators can find strength in numbers by partnering with each other to share best practices,
and by partnering with groups—such as NCARB Outreach,
state registration boards, the AIA Young Architects Forum
(YAF) and National Associates Committee (NAC), AIA components, and AIAS and SDA chapters—to develop programming/events that support intern development.
For More Information
Comprehensive information about the IDP Coordinators
Program, including position descriptions, eligibility,
responsibilities, and support resources, can be found online
at www.ncarb.org.
3.6
Participating in Architectural Education
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Donna V. Robertson, FAIA
There are numerous ways for practitioners to participate with academic
institutions and the education of future design professionals. This article outlines
some of the possible ways to engage.
I NT ROD U C T I ON
Involvement of practitioners in architecture schools is vital to the intent of professional
education. Architecture degree programs offer unique value for the acquisition of new
ways of seeing, doing, and creating beneficent change. Even if all graduates do not go on
to be licensed (and approximately 50 percent don’t), all gain from hearing the perspective
of the practicing professional who is participating daily in creating the built environment.
Day-to-day practice can be grinding and slow, with only long-term gain. In contrast, education offers a chance to step back and consider bigger ideas, gain a different
perspective, and give back to those in development. It can be enormously gratifying,
and there are myriad ways beyond but also including standard classroom teaching that
offer such positive experiences.
Some do choose to teach, a direct way to interact with students and academic colleagues. Also available for practitioner engagement is guest reviewing in studio courses,
where a practitioner visits periodically with the studio instructor and students to evaluate the ongoing work. This offers an afternoon of stimulating conversation and debate,
with student engagement at the fore. Architects can also serve as a guest lecturer in a
class, offering a specialty topic based on a practice’s research and discoveries. Most
teachers welcome outside input. An example of this is the case study class taught at
Illinois Institute of Technology (IIT). This course is aligned with Chicago projects of
special note, and embeds the students in a firm’s process as the project progresses. Many
schools have such courses, so a firm can likely offer a special project for academic study.
The only requirement is to reveal (almost) all of the project’s behind-the-scenes information so that students are informed of the strategies for going from “big idea” to final
execution in a real-world project. The project should exemplify some development in
management of the built environment: civic, commercial, economic, political, etc.
All schools have public programs that welcome visitors to hear from special lecturers, attend workshops on new applications in the field, or participate in conferences and
symposia, which gather many around specified topics. Look for these events on websites, or join an organization that suits particular interests, such as the Society for
Architectural Historians or the Council for Tall Buildings and Urban Habitat. There
is also the Association for Collegiate Schools of Architecture, the national organization
of educators. They hold annual conferences, which showcase academics submitting
papers for “peer review.” This is a wonderful way to find out what is going on in academia. Conference proceedings are published on their website.
As Henry N. Cobb noted in his Gropius lecture, given at Harvard in 1985, “We
teach because involvement in a professional school helps us gain a critical distance from
our practice” (“Architecture and the University,” Harvard University Graduate School
of Design, 1986). Beyond those already mentioned, there are myriad ways for practitioners to contribute to, and gain from, architecture education beyond graduation.
Donna V. Robertson is a professor at Illinois Institute of Technology and was dean of architecture for 16 years. She is a partner in macroDesign and has executed projects throughout the
United States. Robertson was the 2012 president of the Association of Collegiate Schools of
Architecture and is a peer reviewer for the GSA.
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The school from which an architect graduated is a first place to start understanding what
is happening in education. Stay in touch with faculty mentors, periodically visit, and view
the extensive communications that most schools have in place to foster ongoing alumni
contact. Most likely, over the years the school will be continually evolving. Keep an open,
curious mind as to those changes and what they indicate about the evolution of the
profession and the shifts in university perspectives on the delivery of education. Significant change can happen, yet there are (at this writing) 123 schools of architecture, 154
programs of professional study, and a plethora of perspectives on what to teach and why.
Most schools have ways for alumni to actively engage, whether to help with recruitment of new students, mentor current students, hire graduates, participate in career
fairs, or give workshops that focus on current standards of professional preparation.
Most schools have open studio reviews, where the student work is visible and available
for judicious comment (try to stay positive). Many have end-of-the-year shows, meant
to engage the community in what the school is doing. These openings serve both
alumni and local practitioners looking for a closer engagement and understanding.
Schools publish websites, newsletters, publications of faculty work, student catalogues
and broadsheets, etc., meant to disseminate the work of the school. As well, schools
have formal mechanisms for feedback from the outside world, through advisory councils, alumni councils, reunions, continuing education forums, etc., that are excellent
avenues for dialogue. Work through faculty mentors, colleagues, and the administrative
leadership to look into how to engage.
Finally, giving back to a school by sponsoring programs as part of a firm’s philanthropy is a powerful way to make a difference in a school’s programs.
LOC AL PARTI C I PATI O N
Opportunities for participating with schools located in the area in which a firm practices come from many sources. The local AIA chapter will undoubtedly have education
councils, awards programs, student visits to firms, etc., that provide the means to learn
what is going on in academia. Find an AIA Knowledge Community (committee) meeting on a subject close to individual practice interests. They almost always engage academics in the discussion, and can provide an overview as to
trends and experts.
NCARB AWARD FOR THE INTEGRATION
Schools enjoy bringing in local practitioners to serve
OF PRACTICE AND EDUCATION
on studio reviews, advisory councils, career fairs, public
events, etc. Gaining an invitation comes with knowing
H arr y M . Fa lconer Jr., AIA, N CA RB
someone in the school, so the open public events might be
the best place to start if one lacks personal contacts. So too,
S U P P O RT I NG T H E I N T E GR AT I ON OF PR AC TIC E
the local AIA component can provide leads to link an
AND ED U C AT I ON
architect’s expertise to a school’s faculty.
The NCARB Award, initiated in 2006 as the NCARB
Many schools and AIA Students (AIAS) chapters welGrant, supports architecture schools’ efforts to create,
come firm sponsorship of student interns. Offering a stuinnovate new programming that brings non-faculty
dent scholarship or prize, even if modest, is well-received
practitioners into the academy to help raise awareness
and can open up lines of communication. See if the school
about issues central to practice and better prepare
is sponsoring a charrette; often they rely on local professtudents for internships and future careers as architects.
sionals to work with students and judge results.
Projects are intended to have a long-term, ongoing
Teaching is a most stimulating way to keep in touch with
impact on students, faculty, and curricula. Additionally,
education and young people, as well as see trends in the prothe Award seeks to promote development of models that
fession. The benefits of teaching include fostering student
can be adapted or adopted by other schools.
development, having interesting colleagues and conversations,
Full details about the NCARB Award, including
and design research that can advance one’s practice. Classavailable funding, eligibility rules, program requirements,
room teaching of “Support Courses” can also be rewarding
and assessment criteria, are available online at www.
ncarb.org or by contacting NCARB customer service.
and involve specialized topics that surround design education:
Structures, Systems, History/Theory, Professional Practice,
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etc. All schools have their curriculum described on their websites, making it easy to see
where a particular practitioner’s expertise might fit in. Many classes use expert practitioners
for guest lectures and reviews.
To become a faculty member, architects need to have their special abilities known to
the school. Sometimes this comes through a formal search process to find new faculty
hires (mostly for full-time positions). Those positions would be posted on the school’s
website. Beware of the time commitment in being a full-time instructor. The position
requires not only teaching but also formally advising students, helping with school service (recruitment, committees, etc.), and producing significant architecture that is nationally recognized. Most schools require approximately 15 credit hours a year for full time,
which translates into about 20 hours a week minimum preparing and directing classes.
However, practitioners may prefer to teach as a part-time faculty member—less
bureaucracy and time commitment. Schools usually rely on word of mouth for those
appointments, so getting involved in general ways can lead to specific opportunities
to teach. Attend lectures, exhibitions, symposia, and conferences where networking is
possible, demonstrate unique talents and knowledge, and gain continuing education
units. Written course proposals are welcome, so try to get to know a school’s curriculum and discover if there is something special, or missing, to offer. Ask to see sample
syllabi and read a school’s accreditation report (mandated to be on reserve in their
library and usually on the website) to understand the school’s perspective and needs.
A most special gift that a firm can make to its employees’ development and to a
school’s quality is allowing the time and encouraging the staff to become involved in
teaching. More than a monetary gift, this offering can make a huge difference in how
closely a school is aligned with the profession’s values.
Many schools now participate in architectural research, and firms can become
involved in those enterprises. Some firms sponsor a research project that aligns with
their practice ambitions, either through extracurricular, faculty-based endeavors or
through course-based activity. A school’s website is a place to start to know the faculty’s
interests and abilities.
Schools also host societies focused on topics of special interest. IIT’s Mies Society
sponsors programs connected to mid-twentieth-century modernism. They partner
with industry on programming, such as a children’s Lego Build event. So, too, the
University of Texas–Austin’s Charles Moore Foundation fosters public engagement to
issues and inquiry. Most museums have programs on architecture and design, and these
are ways to link with others seeking a broader outlook on the profession’s affects. There
are specialty academic journals also offering a wider perspective, such as Places magazine or the Architect’s Newspaper.
Lastly, a firm’s gifts to a school are a first level of engagement in the school’s values.
Gifts can be tailored to specific interests and hopes for outcomes. Scholarships, internships, awards, and sponsorship of events are just a few of the possibilities. Work with
the school’s development director to put in motion the power of philanthropy to create
change and engagement.
NAT I ONAL PARTIC IPATION
The National Architectural Accreditation Board (NAAB) accredits American professional degree programs. This organization is sponsored by the Collateral Organizations of architecture: AIA, National Council of Architecture Registration Boards
(NCARB), Association of Collegiate Schools of Architecture (ACSA), and AIAS.
Accreditation visits to schools happen once every six years for a program, and the
Visiting Team is made up of representatives for the sponsoring organizations. This is
another avenue for participation in architecture education: providing an outsider perspective to the process of program review by being an organization’s representative.
The means to get on a Visiting Team is to work through a local chapter, gain national
involvement with the respective organization, then let an interest in education guide
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participation and offerings. It is important to bring sympathy for the domain of education and an understanding that schools need to offer both professional and general
education, while participating in scholarly production to the advancement of knowledge. Architecture education cannot just involve professional practice-related offerings.
Each school has its unique qualities, so keep an open mind to different definitions
encountered on an accreditation visit. There will always be an educator on the Visiting
Team to guide others in the current issues facing higher education.
The national AIA Annual Convention and many state conventions have sessions on
architecture education. These track and reveal trends in schools and offer a chance for
dialogue and exchange of information. Conventions also provide a chance to stay current with the larger trends in architectural design and construction, something schools
work hard to do.
OTHE R OP TI O N S
There are many organizations and institutions devoted to fostering architecture education outside of professional degree programs:
• Community colleges. Many offer two-year programs to feed into professional undergraduate programs. This is a way to advance diversity in the profession and help
those without resources for four-year college to have access to becoming an architect. These programs welcome teachers, especially those engaged to work with the
professional “destiny” schools to develop curriculum that prepares students to enter
a profession in later years of study. Try giving a local community college design
department a call to offer time and expertise.
• High school programs abound, from those that are extracurricular or mentoring-based
to those embedded in the school programs. ACE (Architecture, Construction and
Engineering) is a national program mentoring high school students to enter those
professions. They have local chapters in all major cities, and are a way to be in touch
with aspiring architects and other professionals who care about the future of the
profession. Many local nonprofits have ways to help with high school involvement
in the built environment, such as the Chicago Architecture Foundation’s national
programs on architecture education in grade school, or the Newhouse Competition
or their program on design curricula for grade schools.
• State arts programs, mirroring the National Endowment for the Arts, also have programs on education. These welcome grant proposals and collaborations toward
further architectural design awareness in the general population.
Participating in architecture education gives practitioners an opportunity to briefly
step away from daily practice. For a chance to further explore artistic and scholarly
interests, consider making a grant proposal to one of the artist colonies, such as the
MacDowell Colony or the Ragdale Foundation. They welcome architects with a special research project of import. Securing some recognizable recommenders will help
first-time applicants. Artist colonies can be chances to get away to think about bigger
issues and connect with other artists. There is also the Rome Prize for mid-career
practitioners, a wonderful way to step back and focus on the wider picture.
Fo r M or e In for m a t i on
Association for Collegiate Schools of Architecture: http://www.acsa-arch.org/
programs-events/conferences.
Architects Contractors and Engineers (ACE): http://www.acementor.org/.
National Endowment for the Arts programs on education: http://www.nysca.org/
public/guidelines/architecture/index.htm.
Architecture School: Three Centuries of Educating Architects in North America (MIT Press,
2012), edited by Joan Ockman.
Educating Architects (Wiley, 1995), edited by Martin Pearce and Maggie Toy.
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C H A P T E R
4
Public Interest
Design
4.1
Socially Responsible Design Over view
Rachel Minnery, AIA, NCARB, LEED AP
A socially responsible architect believes that buildings influence people’s lives,
that people influence the design of buildings, and that architects are accountable
for the impact of their work on people and the environment. Public interest
design tends to the common good and advocates for design as a means to help
alleviate social distress.
T HE SOC I AL IMPAC T OF DESIG N
Social Responsibility is an ethical
Social responsibility is fundamentally an ethical ideology that states that an entity, be
it an organization or individual, has an obligation to act to benefit society at large and
to maintain a balance between the economy and the ecosystem (International Institute
for Sustainable Development, Perceptions and Definitions of Social Responsibility,
2004). Architects, through their involvement in design and construction, have direct
and indirect impacts on people, the economy, and the environment, and are well positioned to engage in socially responsible activities.
Socially responsible design aims to address social, environmental, economic, and political issues through design and design thinking. The socially responsible design movement
has been fueled by activist designers who are troubled by the limited reach they have in a
traditional architectural practice, where statistically fewer than 2 percent of people will
(have the means to) work with an architect. Due to the initiative, dedication, and generosity
ideology or theory that an entity,
be it an organization or individual,
has an obligation to act to benefit
society at large.
—The ISO and Corporate Social
Responsibility, “Perceptions and
Definitions of Social Responsibility”
Rachel Minnery was 2012 chair of the AIA Disaster Assistance Committee and an architect and
grants manager with Environmental Works Community Design Center in Seattle, Washington.
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of designers volunteering with organizations such as Architecture for Humanity and
Architects Without Borders, projects such as mobile health clinics in Africa, a post-tsunami
orphanage in Sri Lanka, and schools in Haiti have garnered attention within and outside
the profession for the remarkable impact they have made in people’s lives. Examples like
these and other designs that serve to empower people have been collected in books like
Design for the Other 90 Percent (Editions Assouline, 2007), by Cynthia E. Smith, and Design
Like You Give a Damn (Metropolis, 2006), by Kate Stohr and Cameron Sinclair.
Socially responsible designers say that they don’t have to look past their own backyard to find opportunities to transform challenging conditions. “The transformative
power of design, to achieve aesthetic richness, as well as practical and programmatic
ends,” writes Mark Robbins, Director of Design for the National Endowment of the
Arts, “should be brought to the forefront in discussions about the very real problems
of American cities and towns.”
Whether focused on specific individual needs or those of society, socially responsible design typically refers to one or more of three design aspirations: to ease people’s
problems; improve human experience physically, emotionally, and psychologically; and,
in the public realm, care for the space that connects private property to the community.
Some urge architects to look beyond the property lines of their projects for the relationships, opportunities, and challenges in the surrounding community, and some
architects are contributing to a new movement that addresses these common interests.
Public Interest Design
The professions of law and health have adopted the term public interest to describe a firm
that represents the general welfare or common well-being in their work. To better
understand the involvement of architects in the public interest, Architects Roberta
Feldman, Bryan Bell, David Perkes, and Sergio Palleroni were awarded the AIA’s Latrobe
Prize in 2011. Their study increased public awareness of public interest design, or “putting creative abilities to practical use to improve communities,” and encouraged a shift
from a client-driven practice toward a needs-based practice. The research studied ways
to increase the capacity to create and sustain public interest design, either through nonprofit design practices or by integrating public interest projects into traditional practices.
Health, Safety, and Welfare
▶ See the backgrounder The AIA
Code of Ethics and Professional
Conduct (1.1), for a more
detailed discussion.
Public interest design should not be a foreign concept to those architects who are
familiar with the language of their architectural license. When granted a license to
practice architecture, there are certain expectations of the architect: to protect the
health, safety, and welfare of the public. Welfare refers to the well-being and social support for all citizens. Well-being is enhanced when healthy, safe, comfortable, and interesting spaces are created for all.
Architects can protect welfare by addressing individual needs, cultural values, and
societal benefits in their design work. Others go further and engage directly in service
and leadership to their communities. As Citizen Architects, they are civically engaged in
public policy issues and the improvement of their community.
While the profession has been criticized for a lack of civic participation, architects
are encouraged through their professional membership in the AIA to involve themselves in public matters and socially responsible practice. The AIA’s Code of Ethics and
Professional Conduct, Canon II, states that Members “should promote and serve the
public interest in their personal and professional activities.”
To serve the public interest, socially responsible design aims to accomplish three
basic goals:
• Make choices that acknowledge a building design’s direct impact on the immediate
context, on user health, and on community quality of life. (Community and User
Needs-Based)
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Public Interest Design
Community and User Needs-Based Design
Whitney Young, the president of the National Urban League, spoke to the profession
at the AIA National Convention in 1968. In that landmark speech, Young challenged
young professionals, as a new and diverse base of talent, to alter the architectural profession’s dependency on market forces and refocus it on helping communities meet their
needs. Like other professions, architects and designers responded to the social inequities and challenges of urban environments in the 1970s by forming new communitybased organizations. These included the first community design centers (CDCs). These
nonprofit design organizations emerged as collaborations between architects, academ- For more information on
ics, students, planners, and community leaders to address specific needs in their com- community design centers, see
munities. Where they initially served to rejuvenate derelict neighborhoods and create the backgrounders Community
housing, parks, and social service centers, CDCs now address a variety of issues, includ- Design Centers in Context (4.3)
ing cultural preservation, diversity, poverty, special needs populations, social equity, and and Independent Community
Design Centers (4.4).
self-help projects that enhance an individual’s self-sufficiency and resilience.
As population growth and development continued to rise rapidly, in 1977 a network
formed of individuals, organizations, and institutions committed to increasing the
capacity of planning and design professions to better serve communities—the
Association for Community Design (ACD). The ACD
defines community design as a movement focused on the
E N VIRO N M E N TA L WO RKS
creation and management of environments for people.
CO M M U N ITY D E S IG N CE NTE R
They value the design process for promoting change to the
built environment from the neighborhood to regional
Environmental WORKS, a nonprofit community design
scale, and aim to meet community needs through particicenter in Seattle, Washington, was founded in 1970 by
patory decision making at all levels to address:
a group of architecture graduates and professors in a
• Equity and justice: Advocating with those who have a
limited voice in public life
• Diversity: Promoting social equality through discourse
that reflects a range of values and social identities
• Participatory decision making: Building structures for
inclusion that engage stakeholders and allow communities to make decisions
• Quality of life: Advancing the right of every person to
live in a socially, economically, and environmentally
healthy community
• Integrative approach: Creating strategies that reach
beyond the design of the built environment
• Place-based solutions: Generating ideas that grow from
place and build local capacity
• Design excellence: Promoting the highest standards of
quality in the design and construction of the built environment
Architects who are committed to the intensive community design process can help people act on their own
behalf and facilitate community consensus on viable placebased projects. This collaborative process is a shift from
designing for people to designing with people, ensuring the
vision is one the community will continue to invest in over
time. As a form of problem-seeking, participatory design
storefront near the campus of the University of
Washington. This group later squatted in a vacant
firehouse until the City sold it to them and two other
nonprofit organizations for one dollar. For more than 38
years, environmental WORKS provided free early design
guidance and technical assistance to nonprofit
organizations with funding from a City of Seattle
Community Development Block Grant (CDBG) and
General Funds.
For nonprofit organizations such as those providing
community health care and child care, the preliminary
design services defined the project scope and budget so
that funding could be allocated for full design and
construction. Nonprofit organizations were given the
reassurance that their capital funds would be spent
wisely, and the city and local architecture firms benefitted
economically by the investment when 85 percent of the
funds invested in the Community Facilities Design Fund
resulted in built community services facilities. Between
2000 and 2008, $1.5 million invested in the design
fund leveraged a total of $32 million in construction
funds. The program was considered a great success and
operated continuously until CDBG and the City’s general
funding were reassigned to basic human services in
2008.
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• Consider the potential indirect and long-term impacts of the building design on all
human beings and the larger environment. (Sustainability)
• Meet the needs of those who cannot afford architectural design services and would
benefit from receiving them. (Pro Bono)
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▶ For more information on
research and design, see
Chapter 14, Research in Practice.
elicits different ideas, interests, and values that inform the final design and ultimately
add richness, variety, and character to a community environment. People who find it
hard to break through a complex, formal governing system find their voices in an open
visioning process, achieving greater equity and social justice through design. When the
architect demonstrates an understanding of needs and benefits of proposed design elements through effective visual and verbal communication, the client and stakeholders
develop confidence in new ideas. The collaborative process fosters a connected community that will make people feel safe.
Good community design cannot undermine an individual’s capacity to meet his or
her own needs. Needs-based design (NBD) is an approach to design founded on an
understanding of fundamental human needs and creating spaces that eliminate or minimize barriers to people satisfying their needs (Natalie Heltrich and Geoffrey Stack,
thesustainabilitysociety.org.nz). Proponents of needs-based design advocate moving
beyond preconceived ideas to receive input from users that will promote health, safety,
and well-being. Design can serve as a tool to address the unique needs of the disabled,
elderly, economically disadvantaged, and other vulnerable populations. To limit vulnerability in the built environment, designers will consider natural and man-made hazards
and other risks in the building and its surroundings.
When statistics from the EPA suggest that people in the United States spend almost
90 percent of their time indoors, it is clear that building design increasingly impacts
one’s life experience. Research has found that design elements can serve as change agents
that can influence human behavior by encouraging implementation of healthier habits
and practices. Thoughtful design that appeals to and protects the senses will reduce
environmental stress and foster a sense of personal control over one’s surroundings.
Design research can support how design decisions will impact comfort and livability, providing owners with reassurance before the final design is executed. After construction, postoccupancy studies serve to inform architects of the outcomes of their design
by seeking user feedback.
Sustainability
As observed by Mark Robbins, “The ways buildings, cities, and entire landscapes are
designed have economic, social, and political causes and consequences.” This acknowledges that all decisions have an impact on one another, forming the basis of designing
for sustainability, or the ability to endure, wherein the choices we make today are influenced by their projected impact on the future.
Accordingly, the United Nation’s Brundtland Report on Sustainable Development
(1987) targets three aspects of sustainability: economic growth, environmental protection,
and social equality. Combined, these three aspects provide a means of reducing the
negative consequences of development worldwide, though a strong focus on economic
growth in recent decades has tended to sacrifice the other two. The consequences of
this imbalance have contributed to a resurgence of attention to the impacts of development on the environment and human beings.
The Brundtland Report cited two key initiatives:
• The concept of “needs,” in particular the essential needs of the world’s poor, to which
overriding priority should be given
• The idea of limitations imposed by the state of technology and social organization
on the environment’s ability to meet present and future needs
The architectural profession has become a respected leader and advocate of
sustainability, and the reasons for that are compelling—buildings have a remarkable
impact on resource use and the environment. Globally, buildings use 40 percent of
raw materials (Worldwatch Paper 124, 1995, by Nicholas Lenssen and David Malin
Roodman). According to the Department of Energy, buildings represent 73 percent
of U.S. electricity consumption. As a response to this situation, many buildings are
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being designed to meet sustainability standards set by the U.S. Green Building
Council’s (USGBC) Leadership in Energy and Environmental Design (LEED) program. Regulations have also changed, in some cases requiring the design of buildings to meet higher performance standards and to attain a certain level of LEED
certification.
Several sustainable design metrics and organizations have emerged to forward the
sustainable design movement toward an end goal where building elements may produce resources rather than consume them. The groundbreaking book Cradle to Cradle:
Remaking the Way We Make Things (North Point Press, 2002), by William McDonough
and Michael Braungart, attempts to bridge this goal by encouraging a “systems thinking” decision-making model where designers and consumers first consider the full life
cycle of any given building material and its impact on the whole (of the environment,
society, the economy).
Forwarding the continual development of sustainable design strategies, the AIA
Code of Ethics and Professional Conduct includes Canon VI: Obligations to the Environment. Canon VI states that members should “promote and practice sustainable
design and development principles in their professional activities and encourage others
to do so as well.”
Resilient Design
Impacts to environmentally sustainable communities aren’t limited to resource consumption. In the last decade natural disasters and other hazards have affected 200 million people. The increase in the cost and impact of natural disasters such as hurricanes
has increased concern about the progressive impacts of climate change. The U.S.
Green Building Council (USGBC) issued a wake-up call: “A central challenge of the
twenty-first century is to develop strategies that can help us bounce back from potentially disastrous events. If we are to have regrets, let us do so by coming to terms with
the reality that the human condition can never be free of risk, but at least let us not
regret our inaction.”
Following a disaster, trained architects can evaluate buildings for safety and habitability, and, more broadly, they will advocate for and incorporate mitigation measures
to create more resilient, sustainable communities. Architects can perform specific risk
assessments of buildings to inform design and decision making of conditions or events
that may cause harm, injury, or loss of service over the life
of the building. Emergency power generators, “safe
The Role of Architects in Disaster Response and Recovery
rooms,” and hurricane shutters contribute to lives saved,
(4.2) further discusses how architects can be effective in
business continuity, and habitability so that structures can
disaster response, recovery, rebuilding, and resilience to
continue to meet the needs of their occupants in the face
help shape truly sustainable communities.
of hazardous events such as a power outage, snowstorm, or
disaster.
Pro Bono Work
Some architects enter the profession with a keen interest in making a positive difference in the community, and some will go to great lengths to do so, sacrificing evenings
and weekends to work without pay. Providing pro bono services, that is, services for the
public good, is an opportunity to serve those outside the usual marketplace for architectural services. While pro bono services are unpaid, there are other tangible and
intangible rewards, according to Jonathon Moore. Pro bono services increase firmname recognition, improve public understanding of the value of the profession, and
develop professional skills and business relationships (Jonathon Moore, Pro Bono
Services: Improving the Profession, 2007).
Design competitions, open-source sharing networks, and positions with nongovernmental organizations (NGOs) created an enormous opportunity to connect pro bono
designers with real and pilot projects that work to alleviate acute challenges to sustainable
human life: poverty, disease, suffering, and access to resources like water and power.
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▶ For a more detailed discussion
of pro bono work, see Architects
in the Nonprofit Sector (4.3).
Inspired designers take the initiative to innovate design solutions for accessible, safe,
sanitary, and healthy living conditions for the world’s poor and those affected by war,
disease, or disaster. In this regard, architects bring their greatest strengths—design knowledge, technical skills, and creative problem-solving—to meet the world’s greatest needs.
To acknowledge the growing volunteer efforts and expand a formal pro bono
movement with the profession at large, the program The One Percent launched in
2005 to challenge firms and architects to dedicate a minimum of 1 percent of their
working hours to pro bono services. Proponents of The One Percent boast that if every
architecture professional in the United States committed 1 percent of their time to pro
bono service, it would add up to the equivalent of a 2,500-person firm working fulltime for the public good.
The AIA encourages all of its members, their firms, and components to provide pro
bono services as part of their contributions to the profession and the Institute in service
to society. The AIA provides tools such as the Architect’s Knowledge Resource Checklist to help architects decide if a pro bono project is right for them. After deciding to
move forward, members can refer to the AIA’s Pro Bono Services Agreement between
owner and architect to formalize the work.
Project Types
Community-based design projects can improve urban conditions and create more vibrant
communities with permanent and pilot projects. Architects have “designed by demonstration” creating temporary parklets, mobile food markets, and “living charrettes” that
create new uses for vacant or underutilized land. Architecture firms have initiated projects in their communities, such as the Aladdin Fairy Tale Castle at the Dallas Arboretum by local firm HKS. Another example is Perkins+Will’s Adopt a Room project to
design a “dream room” for the University of Minnesota Children’s Hospital.
Community charrettes place the architect in the position of facilitator and communicator, directly engaging with community members and stakeholders on a design issue
in the built environment or proposed project to create a vision that represents the
community’s ideas, goals, and values.
Design-build projects bring the architect and contractor together with the owners
and occupants in a comprehensive process. Habitat for Humanity is one of the most
widely known programs in which volunteers and future low-income residents realize a
design together. Auburn University’s Rural Studio modeled an industrious academic
program wherein students learn practical skills through real-world projects in impoverished communities, exercising predesign, design, and construction skills.
While socially responsible architects seek projects because of their values, they also
turn projects down for the same reason. For instance, the professional organization,
Architects, Designers and Planners for Social Responsibility (ADPSR), advocates against
building new jails. Instead, their aim is a community-based alternative to incarceration
to alleviate the prison system’s moral impact on society and its economic burden on tax
dollars that otherwise could be assigned to schools, health care, and affordable housing.
SOCIALLY R E S P O N S I BLE D E S I GN P R A C TI C E S
Socially Responsible Practice Management
Architects fully “walk the talk” of social responsibility when their firms operate and
conduct business across all of their roles in the community: as citizen, employer, colleague, and fellow human. Business leaders are stewards of valuable resources: money,
time, staff, supplies, space, and the resources of their clients. Increasingly, the design
firm’s employees expect the firm to have goals that will extend beyond profit to focus
on the health of the entire community.
A socially responsible firm will have, as part of its core mission, the goal to improve
the lives of everyone in its sphere of influence: employees, consultants, clients, users,
communities, and the natural environment (see Figure 4.1). For a mission to be
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EMPLOYER
Socially
Responsible
Internal Practices
Community-based design
INDIVIDUAL
Needs-based design
COLLEAGUE
Socially
Responsible
Project Practices
COMMUNITY
The Socially
Responsible
Design Firm
PUBLIC
CITIZEN
Socially
Responsible
External Practices
Public interest design
ENVIRONMENT
Rachel Minnery, AIA
FIGURE 4.1 Socially Responsible Firm Diagram
successful, research shows that 80 percent of an organization needs to participate. This
calls for workplace policies that will ensure the firm’s socially responsible values will be
implemented.
Internal Practices: The Workplace
Policies and procedures may be the most important aspect of a firm’s practice because
a strong organization with empowered staff and resources is more productive and
innovative. According to the Labor Department, “in the 1990s, companies have found
that they can achieve superior financial results by developing a superior workplace.
Evidence suggests that a positive correlation [exists] between innovative approaches to
workplace practices and company performance.”
Some key ways to create a socially responsible workplace (adapted from Corporate Social Responsibility: Guidelines for Top Management [Praeger, 1989] by Jerry W.
Anderson Jr.):
• Understand staff values, goals, needs, and challenges: First and foremost, staff resources
are human beings, and their personal needs must be addressed to have a viable
workforce. Consider flexible policies that express mutual vesting between employer
and employee and build long-term staff retention.
• Diversify staff: Employment diversity should reflect that of the community’s culture.
“Diversity is especially important and beneficial for problem solving and innovation
tasks” according to a multiyear study published in 2005 by Columbia Business School
professor Elizabeth Mannix and Stanford Business School professor Margaret Neale.
• Workplace wellness programs: Nutrition, fitness, stress-reduction, and disease prevention have been proven to reduce sick days and increase productivity. Architects don’t
consider an office setting as a place for workplace safety concerns, yet those who sit
at a desk for the majority of the day are more prone to back, neck, and carpal tunnel
problems.
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A F IR M ’S S OC IAL RESPON SIB ILITY
INITIAT IV E
Perkins+Will’s Social Responsibility Initiative began in
2007 when the Board of Directors appointed a task
force to assess current activities informally underway in
the firm and to formalize them into firm-wide protocols
and guidelines. The document created by the task force
established the framework that fostered a national
dialogue and empowered each local office to organize
and implement social responsibility as part of its core
philosophy, practice, and individual accountability.
Perkins+Will’s mission statement for social
responsibility: “Perkins+Will is committed to engage its
professional resources and leadership to benefit the
social needs in the built environment where design can
make a difference.” The firm encourages volunteerism of
employees and donates 1 percent of its billable time and
unique intellect to initiate and execute projects and
buildings that serve the broad society who otherwise
would not have access to professional architectural
services.
A phased approach of implementing their new
commitment began with just 25 percent of donated
billable hours in 2007, building to 100 percent
commitment of the firm’s goal over the next few years.
The program has improved and become more efficient.
Existing relationships with nonprofit organizations were
strengthened and many new relationships with other
organizations were established.
• Diversify duties and reduce or interrupt computer use: How
work is done and the tools that are used are very different in the twenty-first century from those used even a
generation ago. A 2003 study by the Journal of the
American Medical Association found health problems
including work-related depression and productivity loss
attributable to extensive computer use. Try to limit
screen time to three-hour intervals and incorporate
social and educational activities, hand drawing, or journal reading to break up the day.
• Avoid overtime: Well-managed firms will strive to schedule deadlines to align with staff resources. Respect evening and weekend time for respite and not for additional
shifts for salaried employees.
• Provide a supportive work environment: Know the human
struggles of your staff. Invest in their “human-beingness.”
Allow for flexible work schedules, family leave, child care,
and other personal and family-friendly programs.
External Practices: In the Community
Firms often focus on external actions for visibility and to
build the reputation of the firm in their community and
profession. The AIA believes that society and the profession benefit from civically engaged architects who use their
insights, talents, training, and experience to contribute
meaningfully, beyond self, to the improvement of the community and human condition. “Citizen architects advocate
for higher living standards, the creation of a sustainable
environment, quality of life, and the greater good” (AIA
Issue Brief, “Citizen Architect,” 2011). Architects engage in
external practices of social responsibility when they institute a “Firm Social Sustainable
Policy.” Create and empower a committee to suggest and develop a unique social sustainability mission, goals, and proposed actions. With buy-in from the leadership, a
formal commitment can be made and exercised through policies communicated to
employees, clients, and partners. The commitment may include:
• Provide pro bono services to organizations or missions that cannot otherwise afford to
hire an architect to the extent feasible. Consider committing to The One Percent,
a program launched by Public Architecture that connects nonprofits with architecture and design firms willing to give their time pro bono (www.theonepercent.org).
• Volunteer and host team-building days: Annually include one or two days of employersponsored volunteer days for team-building and community outreach.
• Contribute a portion of profits to charitable organizations in the community that share
a mission you care about.
• Publicize and exchange knowledge, research, and lessons learned with clients, the public, and other design professionals.
• Participate in the community on nonprofit and civic boards, committees, and community meetings. Host or facilitate events or guest speakers that reflect the firm’s
values.
• Share your mission, successes, and innovations on the firm’s website or other social media.
Convey policies, practices, and commitments that reflect the values of the firm.
• Seek appointments to civic boards and commissions. Refer to the AIA’s guidelines, How
Architects Can Become Advocates for Livable Communities and Communities by Design:
Influencing Your Community’s Quality of Life.
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To practice socially responsible design, an architect doesn’t have to change jobs, request
a new project, or get knee-deep in a pro bono project. Instead, one can offer a different
approach or adjust participation within the context of current work. In practice:
• Establish a team mission: Inquire with engineers, consultants, and vendors as to their
social responsibility practices.
• Facilitate a participatory design process: Identify all relevant stakeholders. Be inclusive
and solicit feedback from all stakeholders, starting early in the design process and
integrating it into the work.
• Establish a project vision and measurable goals: Collectively create goals that reflect the
values of the stakeholders and develop ways to measure the success and results. Dig
deep in the needs and risk assessment to uncover potential opportunities and challenges for the duration of the life of the building.
• Utilize design research: Consult publications and media for case studies, research,
materials, and technologies.
• Design to actively promote the health and well-being of occupants: Incorporate design
elements that reduce sensory stress, encourage movement and interaction, provide
access to natural light and the outdoors, and contribute to thermal comfort, good
indoor air quality, and sound control for all occupants.
• Incorporate and forward sustainable design principles: Address the deeper needs of the
environment, the community, and the occupants through your design process.
• Perform life cycle analysis: For all the investment in creating the building, consider
what happens after the project is complete. Assess the viability of meeting long-term
goals and the structure’s durability, adaptability, and re-usability. Discuss the building’s end of life and how it may be disassembled.
• Engage in the execution of the design: Create a plan with the owner to have the design
administered responsibly during construction to ensure design intent and safety
standards are met.
• Evaluate the completed project: While measuring success can be difficult, particularly
of an individual design element, interviews with clients, users, and public feedback
can be illuminating. Create case studies to evaluate whether specific goals have
been met.
While the majority of architects work on fee-for-service projects, alternative career
paths are another option for socially minded architects. Although community design
centers make up less than 1 percent of the nation’s architecture firms, other architects
work on staff for nonprofit organizations, a choice that provides rewarding opportunities to utilize design, management, and other necessary people and business development skills.
▶ For more information about
working in the nonprofit sector,
see the backgrounder Architects
in Large Nonprofits (4.3).
ORGA NI Z AT I ON S F ORWARDIN G S O C I A LLY
R E SPON SI BLE ARC H ITEC TURE
Community-based organizations and nonprofits often originate with a focus on
improving the physical, social, and mental health and well-being of a community in a
way that the marketplace cannot. They do this through their work, educating future
practitioners, supporting peers and colleagues, and volunteering or otherwise engaging
with their communities.
The Association for Community Design (ACD) supports various types of nonprofits and those who engage in community design practices by sharing and advancing
research, education, best practices, and policies related to community design.
Reflecting values and movements within the profession, in 1967 the AIA formed
the AIA Regional/Urban Design Assistance Team program (R/UDAT), an interdisciplinary community design program that combines local resources and nationally
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▶ For more information on the
AIAS program, see the
backgrounder The American
Institute of Architecture Students
Freedom by Design (4.4).
▶ For more information on SEED,
see the backgrounder Social
Economic Environmental Design
(4.1).
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recognized design professionals to identify ways to encourage desirable change in a
community. In 2005, the AIA expanded this successful program with the AIA Sustainable Design Assistance Team to focus on community efforts to increase sustainability.
Local organizations like Habitat for Humanity, Architecture for Humanity, and
Architects Without Borders link qualified pro bono community projects with generous
volunteer designers. Pro bono undertakings can rejuvenate jobseekers and appeal to
newer graduates, often entering the profession having already witnessed the visible
difference their design-build studio projects have made.
Celebrities-turned-philanthropists Brad Pitt and Sean Penn have steered their fans’
attention to the power of design to help communities in need. The Make it Right
Foundation and J/P Haiti Relief Organization were formed to assist in, respectively,
the rebuilding of New Orleans after Hurricane Katrina and Haiti after the earthquake
of 2009.
Open Architecture Network—now Worldchanging—was formed with the express
interest of sharing design ideas among architects, clients, and builders, all free to download from their website. The website boasts that “design is the ultimate renewable
resource,” promoting design as an empowering tool to build safer, more sustainable,
and more innovative structures (www.openarchitecturenetwork.org). As an evolution
of the Cooper-Hewitt’s exhibit “Design for the Other 90 Percent,” the Design Other
90 Network is another open-network database of design solutions for those living in
poverty globally.
Some companies have strategically partnered with nonprofit organizations or have
spun off their own nonprofits to serve a specific mission. Looking to send a call to
action to the design industry, the Rockefeller Foundation partnered with IDEO to
create a pilot study for connecting design firms to the social sector, known as the Initiative on Accelerating Innovation for Development. IDEO later formed a nonprofit arm
to work with other nonprofits and foundations to bring design solutions to povertyfocused problem-solvers around the world.
Sponsored fellowships provide funded opportunities for postgraduate designers to
work within communities. AmeriCorps, Enterprise Rose, and Design Corps are just a
few fellowships available to designers interested in making an impact with their new
design skills.
The American Institute of Architecture Students (AIAS) Freedom by Design (FBD)
program is a community service program that utilizes the talents of architecture students to offer modest design and construction solutions to enhance the homes of lowincome, elderly, and disabled people by addressing their struggles with everyday tasks.
Other nonprofit design organizations focus on the preservation of architecture as
it represents the history, culture, and identity of a community. Docomomo US and the
National Trust for Historic Preservation are two organizations dedicated to the documentation and conservation of buildings, sites, and neighborhoods.
Architects, Designers and Planners for Social Responsibility (ADPSR) was founded
in 1981 as a coalition of designers working for peace, environmental protection, ecological building, social justice, and the development of healthy communities.
As a resource, The Environmental Design Research Association (EDRA) is an
organization that advances research to improve understanding of the interrelationships
between people and their built and natural surroundings, and helping to create environments responsive to human needs.
Spearheaded by the nonprofit organization Design Corps and funded by a grant
from the Surdna Foundation, the Social Economic Environmental Design (SEED)
Network formed in 2005 to develop a common standard to guide, evaluate, and certify
the social, economic, and environmental impact of design projects. SEED Principles
include: (1) Advocate with those who have a limited voice in public life. (2) Build structures for inclusion that engage stakeholders and allow communities to make decisions.
(3) Promote social equality through discourse that reflects a range of values and social
identities. (4) Generate ideas that grow from place and build local capacity. (5) Design
Public Interest Design
C ONCL USI ON
G ATHE RIN G S A N D O RG A NI Z ATI O N S
F O R S O CIA LLY RE S P O N S IBL E DE SI GN
AC ADEMIC PR OGR AMS AND C ONF E R E NCES
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to help conserve resources and minimize waste. The Network’s website hosts a SEED Evaluator, where architects
are free to join, submit, and certify a project.
There are many challenges in advancing socially
responsible and public interest design. According to
PublicInterestArchitecture.org, “current efforts are small in
scope, disconnected, and redundant, and in the profession
the interest is palpable, but opportunities are few and far
between.” Significantly, more socially responsible employment and funding opportunities need to be created to make
this movement an important mainstay in the profession.
• Structures for Inclusion Conferences
• Public Interest Practice in Architecture
• Design Like You Give A Damn
PR OF ES S IONAL OR GANIZATION S
• Architects/Designers/Planners for Social
Responsibility (ADPSR)
• Environmental Design Research Association (EDRA)
• International Association for People-Environment
Studies
• Business for Social Responsibility
A real estate billboard in Seattle for the old Rainier Brewery’s converted work lofts reads, “Own a piece of Seattle’s
history.” Cities adopt their buildings as if they were their
own, suggesting that there are more building “owners”
than the one within the property lines. Buildings embed themselves in the memory of
their city and reflect the character and vitality of generations of residents.
Because of the connection between people and their buildings, there may be a time
when the public will demand socially responsible design practices from architects. As
Matthew Patsky, of Robertson, Stephens & Company suggests, “Over time, the companies that are going to succeed are the companies that have adopted what have been
labeled socially responsible criteria into their business practices.…Over time, if you are
not empowering your employees, if you are not caring about the community and the
environment, you are not going to survive as a company.”
Following in the footsteps of the nation’s first citizen-architect, Thomas Jefferson,
architects can help communities sustain healthful future generations, and in doing so,
redefine the meaning of successful design. As Public Interest Architecture observes,
“We stand on the brink of an emerging field with the means to improve learning in our
schools, health in our communities and the lives of countless people around the world”
(http://www.publicinterestarchitecture.org). Buildings will continue to shape people’s
lives, and their design presents an opportunity for architects to access their highest
contribution to others.
The rest of this chapter on public interest design will provide more information
about the breadth of activity that constitute engagement in socially responsible
architecture. Specific issues and examples will be discussed, including case studies
of programs, organizations, and individual architects who are engaging with individuals and communities to improve the environment, the lives of people, and the
public realm.
F or Mor e I nf o r m ati o n
AIA Center for Communities by Design: http://www.aia.org/about/initiatives/
AIAS075265.
“Pro Bono Services: Improving the Profession” http://www.aia.org/practicing/
bestpractices.
AIA Citizen Architect: http://www.aia.org/advocacy/local/AIAB051121.
Public Architecture (The 1% program): http://www.theonepercent.org/.
The SEED Network: http://www.seed-network.org/.
Architecture for Humanity: http://architectureforhumanity.org/.
Open Architecture Network: http://openarchitecturenetwork.org/.
Architects Without Borders: http://www.architectswithoutborders.com/.
Center for Inclusive Design and Environmental Access: http://www.ap.buffalo.edu/
idea/.
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BACKGROUNDER
S OCIAL EC ON OM IC ENVIRO N M E N TA L
D E S IG N ( S EED)
Br ya n B ell
Public-interest design is a quickly growing sector of the practice of architecture. SEED provides public interest design with
a professional standard of ethical practice through a clear
mission and set of principles.
Bryan Bell is the founder of Design Corps, founder of the
Public Interest Design Institute, and a cofounder of
SEED. He received a 2007 AIA National Honor
Award in Collaborative Practice and is a co-recipient
of the 2011 AIA Latrobe Prize, which focuses on public
interest design.
P U BL IC I NT E R E S T D E S I GN
The goal of public interest design is that every person should
be able to live in a socially, economically, and environmentally healthy community. As in the field of public health, those
practicing public interest design take a holistic approach,
considering a broad range of social impacts. As with public
interest law, practitioners seek to provide services to serve all
of the general public, not just those able to pay a fee for
services.
The first decade of the new millennium saw an increasing
interest in design with public benefits. In 2000, the annual
Structures for Inclusion conference was launched to illustrate
projects from around the world that demonstrate design in the
public’s interest. The first of these was held at Princeton
University on October 7, 2000, and was called “Design for
the 98% Without Architects.” Attendees were challenged “to
serve a greater segment of the population rather than the 2%
currently being served by architects” (Good Deeds, Good
Design: Community Service Through Architecture [Princeton
Architectural Press, 2003] by Bryan Bell).
The first exhibit of public interest design was “Design
for the Other 90%,” held in 2007 in the exterior courtyard
of the Cooper-Hewitt National Design Museum. Interest
reached a critical level with the exhibit “Small Scale, Big
Change,” at the Museum of Modern Art in New York
in 2010.
S O CIA L E C ON OM I C E N V I R ON M E N TAL
DE S I GN ( S E E D )
In 2005, the Social Economic Environmental Design (SEED)
Network was founded at a conference organized by the Harvard Loeb Fellowship. The SEED Network established a professional community specifically with a public interest mission
and a common set of principles to guide ethical community
engagement. A 2011 poll of members of the American Institute of Architects agreed that this mission (77% agreed) and
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principles (75% agreed) were appropriate for public interest
design:
SEED Mission: Every person should be able to live in
a socially, economically, and environmentally
healthy community.
SEED Principles
• Principle 1: Advocate with those who have a limited voice
in public life.
• Principle 2: Build structures for inclusion that engage
stakeholders and allow communities to make decisions.
• Principle 3: Promote social equality through discourse that
reflects a range of values and social identities.
• Principle 4: Generate ideas that grow from place and
build local capacity.
• Principle 5: Design to help conserve resources and
minimize waste.
S EED EVALUATOR
To convert this mission and principles into design-based
action, a new tool was developed, the SEED Evaluator. The
SEED Evaluator is a communication tool that allows designers
and communities to define design projects that address critical
issues. The Evaluator provides for significant involvement of
the community, resulting in greater transparency and accountability, and allows tracking a project through its entirety. There
are four broad benefits of using the SEED Evaluator:
• Process: Provides a standard process for designers and
communities to assess challenges, define priorities, set
goals, and create design projects to address critical
social, economic, and environmental issues.
• Participation: The Evaluator functions as an online communication platform that can include multiple stakeholders
and diverse community members in the process. Broad
and diverse participation in a project is a requirement of
the SEED Evaluator for a project to be determined as in
the public’s interest.
• Transparency: Progress toward success can be tracked
online and in real time. The results of the project in achieving these goals or not are made publicly visible.
• Accountability: Completion of the SEED Evaluator can lead
to SEED Certification, which confirms, through a thirdparty review, the success of a design project in achieving
the goals set by the community. SEED Certification has
established a trustworthy method for the public, community
organizers, civic leaders, designers, and funders to confirm the public interest aspects of design projects.
R ES EAR C H AND TR AINING IN PUB LI C I NTE REST
DES IGN
Research conducted through the 2011 FAIA Latrobe Research
prize researched “Public Interest Practices in Architecture”
Public Interest Design Training includes:
• Finding new public sector clients
• Learning about new fee sources and structures
• Understanding public interest design and how is it reshaping the design professions
• Proactively finding a public interest design project
• Using a step-by-step process of working with a community
as a design partner
• Leveraging other partners and assets to address project
challenges
• Maximizing a project’s positive impact on a community
• Measuring social, economic, and environmental impact
on communities
As a result of this research, the first professional training in
Public Interest Design was started in 2011 by the Public
Interest Design Institute and held at the Harvard Graduate
School of Design.
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and surveyed a representative sample of AIA members. The
interest of these professionals in practicing public interest
design was measured. Obstacles and support mechanisms
were also determined. These responses established a need
for training, which has not been provided in traditional architectural education.
Good Neighbors, Affordable Family Housing (Images
Publishing, 1997) by Tom Jones, William Pettus, AIA, and
Michael Pyatok, FAIA.
Good Deeds, Good Design: Community Service Through
Architecture (Princeton Architectural Press, 2003) by Bryan Bell.
Studio at Large: Architecture in Service of Global Communities
(University of Washington Press, 2004) by Sergio Palleroni
and Christina Merkelbach.
Design Like You Give a Damn: Architectural Responses to
Humanitarian Crises (Metropolis, 2006) by Kate Stohr and
Cameron Sinclair, eds.
Expanding Architecture, Design as Activism (Metropolis 2008)
by Bryan Bell and Katie Wakeford, eds.
Design Revolution: 100 Products That Empower People
(Metropolis, 2009) by Emily Pilloton.
The Power of Pro Bono (Metropolis, 2010) by John Cary, ed.
Latrobe Prize 2012 Information: http://network.aia.org/cof.
Public Interest Design Institute: www.publicinterestdesign.com.
BACKGROUNDER
CU LT U R E, DIVERSIT Y, AN D D E SIG N
S anj o y M a zumd a r, B . Ar ch. ( Ho n s . ) ,
M.Ar ch .A.S., M .C.P., Ph.D.
Design is important to cultural groups. Design flaws and culturally inappropriate designs can be harmful. Attending to
cultural and social needs is the designer’s responsibility.
These themes are delineated herein.
Sanjoy Mazumdar is professor at the University of California,
Irvine, past chair of the Environmental Design Research
Association, and Fellow of the Design Research Society.
His designs exist internationally.
The effects of culture on design are manifest in the variety
in architecture existing around the world, illustrated by books
on, for example, Japanese or Indian architecture. In many
nations, such as the United States, immigrants create various
special cultural spaces, such as Little Saigon in Southern
California. For a number of reasons, including place attachment, these groups have felt the need to (re)create an architectural and physical sense of place important and
meaningful to them. Distinct are their architectural forms,
morphological features, colors, textures, ambiences, and
building–street interfaces, as well as the ways in which people use sidewalks and streets and interact with buildings.
Following is a summary of the ways culture influences
design, the effects of faulty design, and some of the cultural
responsibilities of architectural, urban, interior, and landscape designers. Culture is defined as a group’s socially
negotiated and accepted values, traditions, customs, mores,
lifestyle, and ways of doing, acting, and building. This
includes views of the physical environment as well as of
design.
The distinctiveness of a culture’s architectural designs,
according to House Form and Culture (Prentice Hall, 1969)
by Amos Rapoport, as well as other authors, is due primarily
to the uniqueness of cultural approaches to design. Attitudes
toward design are influenced by the culture’s ideas about
design problem setting (what needs attention), problem-solving (how problems ought to be resolved), design appropriateness (out of the possible solutions that are acceptable), design
requisites (preferred conditions like directions, shapes, sizes,
dimensions, materials, and technologies), sentience qualities
(visual, including forms and colors; haptic and textural;
acoustic/sonic; olfactory/smell; and gustatory), and relationships with other humans, other species, and nature, among
others.
Culture’s connections with design can be fairly strong,
deep, influential, multifarious, and complex. Among the various cultural factors influencing design that have been
(continued)
4.1 Socially Responsible Design Overview
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identified by researchers are cultural values, conceptions,
preferences (for forms, materials, etc.), aesthetic sensibilities,
symbolism and meaning attached to forms, and attitude
toward and responsibility for nature. Cultural conceptions
may direct the selection and preparation of the land, the
design process, construction, preparation, dedication, and
occupation, as well as design features including character,
location, orientation, and arrangement of spaces. House
designs of religious groups tend to have special ambience
and spaces, and unique décor, furnishings, furniture, items,
and equipment; as well as distinctive uses, activities, rituals,
and ceremonies. Not attending to cultural needs can lead to
design failure and consequent costs.
D E S IGN PE RF OR M A N C E A N D FA I L UR ES
Designs perform successfully in many ways. Briefly, these
include users being able to conduct intended functions, tasks,
and activities, feeling a sense of comfort, and even satisfaction with the design. Designs can also innovatively provide
imaginative possibilities and open new vistas.
Designs fail for several reasons (excluding those not
under the designer’s control; for example, planning, management, construction deficiencies, and natural or other disasters). Cultural design failures are designs that culture members
significantly modify, refuse to use, reject, abandon, or dispose of because they deem them culturally inappropriate
(e.g., Snyder, Stea, and Sadalla 1976; Mazumdar 2000).
Functional design failures do not meet reasonable expectations regarding affordance of functions, uses, activities, or
comfort conditions. Design performance failures refer to the
inability of the design product to perform at the level
expected. There could be others—for example, structural
design failures, wherein the structural design is inadequate.
Cultural design failures can have many deleterious
effects on people living in culturally inappropriately designed
environments (Jaulin 1971; Mazumdar 2012). Living in
inappropriately designed houses can hinder, and require
adjustments to, religious rituals and activities deemed important. This can be particularly damaging to those groups for
whom home is a primary site for religion (e.g., Hindus,
Buddhists, etc.). Some outcomes are immediately noticeable,
such as the inability of users to conduct their cultural practices and/or having to truncate, modify, or forgo them.
Medium-term effects of not being able to engage in cultural
routines include feelings of incompleteness and inadequacy,
and failure to recall details of the process. Long-lasting consequences consist of amnesia concerning cultural knowledge
about procedures and practices as well as their rationales,
and inability to socialize and teach the subsequent generation, leading to loss of culture (Jaulin 1971). Besides direct
and obvious ones, there can be ripple effects whereby other
aspects are affected (e.g., inability to prepare certain foods
might lead to nutritional deficiency in children and adults
and loss of that cultural recipe). And there can be indirect
and hidden effects.
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Cultural design failures affect post-disaster housing.
After disasters destroyed their homes, disaster victims, who
had hardly any options, have nonetheless refused to
occupy the houses provided because the designs were culturally unsuitable and instead chose to live in tents or use
these in drastically modified ways. For example, those displaced by the 1970 earthquake in Gediz, Turkey, did not
occupy the housing supplied (Oliver 2003). Knowledge of
such design failures and their effects led to a proposal for
a cultural ecological approach to disaster planning
(Mazumdar 2012).
These cultural failures have led to the realization that
one way of design (planning and landscaping) may not
be suitable for all. Because the one-design-fits-all approach
is not likely to lead to appropriate and acceptable environments, designers and planners will need to be knowledgeable and motivated to provide appropriate
environments.
C ULTUR ALLY APPR OPR IATE DES IGN
To avoid cultural design failures and the ensuing embarrassment to designers, and to minimize harm to occupants, it
may be useful to adopt the physicians’ adage: “First, do no
harm.” Designers do not always know what is good for the
local people, and so the following would be useful to incorporate into regular practice: To achieve culturally appropriate and responsible designs, a “cognoscent approach” is
necessary (Mazumdar 2000, 2012). In this, it is essential
to develop cultural consciousness, recognize the importance of deep understanding, and adopt an attitude of
becoming as knowledgeable as possible about local culture–design relationships. This requires learning about local
cultural values and their influence on design and the effects
of inappropriate designs. In this culture-intensive and
engaged approach, it is useful to frequently verify one’s
knowledge with culture members. Because cultural values
are not static, it is useful to learn about core values that
resist change, peripheral ones that are more amenable to
modification, and problematic ones that can be considered
for alteration. Once knowledge is acquired and choices
and consequences properly considered based on comprehension, understanding, and astute judgment, culturally
appropriate and responsible design decisions can be made
that respect the culture’s core and key values while improving conditions. Providing possibilities for cultural members
to comprehend the proposed designs—their effects as well
as the trade-offs implied—will be useful for their engagement with the design.
A few caveats deserve mention. Individuals are cultural members and agents, but culture is neither a collection of individuals nor the summation, average, mean, or
mode of individual opinions or preferences. All cultural
features described are important, and so selectively focusing on a few—such as prevalent forms of the region—is
insufficient.
Designers, thus, can have positive or negative effects. Culture, once destroyed due to lack of consideration, action, or
knowledge, is near-impossible to reconstitute again (Jaulin
1971). Attending to the various cultural requirements is therefore crucial.
Designers can play an important role in enriching users’
lives by drawing on and respectfully using local cultural wisdom; making meaningful products through culturally appropriate design; facilitating cultural experiences (e.g., spaces
for contemplation, peace, tranquility); incorporating and
specifying local arts and crafts and local materials, products,
and labor; and through socioculturally inspirational design
that becomes a pride of the community. Additionally, whether
required or not, they can address intractable problems, and
provide “socially conscious” elegant, affordable, culturally
appropriate, imaginative, eco-sensitive, healthy, and safe
solutions that make the project suitable for persons with disabilities, children, and the elderly, powerless, and poor
4.2
(Oliver 2003). Designers are in a special position to lead the
way by seeing every project as an opportunity.
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CO NC L U S I ON : D E S I GN E R ’ S C U LT U R AL
RE S P O NS I B I L I T I E S
“Ethnocide: The Theory and Practice of Cultural Murder,” The
Ecologist 1: 12–15 (1971) by Robert Jaulin.
“People and the Built Environment” by Sanjoy Mazumdar. In
Design Professions and the Built Environment: An Introduction
(Wiley, 2000), ed. by Paul Knox and Peter Ozolins.
“A Cultural Ecological Approach to Disaster Planning” by
Sanjoy Mazumdar. In Proceedings of 9th International
Conference on Urban Earthquake Engineering (2012), Tokyo
Institute of Technology.
Dwellings: The Vernacular House Worldwide (Phaidon, 2003)
by Paul Oliver.
House Form and Culture (Prentice Hall, 1969) by Amos
Rapoport.
“Socio-Cultural Modifications and User Needs in Navajo
Housing,” Journal of Architectural Research 5: 4–9 (1976)
by Peter Z. Snyder, David Stea, and Edward K Sadalla.
The Role of Architects in Disaster
Response and Recover y
Rachel Minnery, AIA, NCARB, LEED AP
Architects have an opportunity to fully embrace the unique and valuable
contributions they can make as design leaders in communities at risk of natural
hazards. This article discusses how architects can be effective in disaster
response, recovery, rebuilding and resilience to help shape truly sustainable
communities.
I NT ROD U C T I ON
In the United States, the number of federally declared disasters has been steadily and
swiftly on the rise. In 1958 there were 8 declared disasters; just 50 years later in 2008,
there were 10 times as many. What accounts for the dramatic increase? Some view
climate change and global warming as a factor, others perceive an increase in
the involvement of the federal government in state and local affairs. Most agree that
the compounded effects of population growth, aging infrastructure, and the expansion
and development of cities contribute to the increased scale and intensity of hazardous
events.
The United States is prone to various life-threatening natural hazards, including
hurricanes, floods, tornados, earthquakes, volcanoes, and wildfires. History and science
show that numerous faults on the Pacific coast are due or overdue for a seismic event.
Rachel Minnery, 2012 chair of the AIA Disaster Assistance Committee, is an architect and
grants manager with Environmental Works Community Design Center in Seattle, Washington.
4.2 The Role of Architects in Disaster Response and Recovery
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Although flooding, which accounts for more than 75 percent of federally declared
disaster areas, is the most prevalent disaster event in the United States, it is excluded
from typical homeowner insurance policies. Without flood insurance programs, damage due to floodwaters leaves homeowners physically and economically vulnerable.
Hurricane Katrina had a stunning impact on the nation, yet disasters of truly catastrophic proportion have largely been unseen by Americans in this past century. While
the risk of occurrence is low, the threat will exist for generations to come. With over
half of the American population living within 50 miles of a coastline, many are aware
of the direct risk of hurricanes and windstorms. Japan’s Tohoku earthquake in March
of 2011 was also a reminder of the indirect risks when an earthquake many miles away
sounds tsunami alarms in the United States. For some perspective: A single earthquake
off the Gulf Coast could trigger a tsunami affecting 35 million people, and one off the
East Coast could impact 65 million people.
When Hurricane Katrina hit in 2005, it was a wake-up call. This storm cost the
federal government $85 billion, and natural disasters caused $960 billion in damage to
U.S. property and infrastructure in 2010 alone. According to the United Nations International Strategy for Disaster Reduction, the severity of this financial impact of natural
disasters is directly linked to unplanned development and destruction of ecosystems.
Hurricane Katrina was the costliest natural disaster in the history of the United States.
In New Orleans this cost was due in part to infrastructure failures: Breached levees
caused the destruction of 4,000 homes in the Lower Ninth Ward. This was the sixthstrongest recorded storm, yet it claimed the lives of 1,836 people and damaged or
destroyed 850,000 homes, leaving many coastal communities and neighborhoods still
struggling to recover years later. In addition to the monetary costs, there is a humanitarian cost. Until Hurricane Katrina, the largest displacement of Americans had been
caused by the Civil War.
The impacts on Gulf Coast communities have been astounding: fewer than
50 percent of the residents of New Orleans had returned to their city more than five
years after the storm. This aspect of prolonged displacement raises an immediate issue
after the disaster: When is it safe to return to one’s home?
Eager to rebuild their lives, some residents returned to damaged homes too soon,
unaware of safety and health risks to themselves and their families. Doctors’ visits and
prescription use surged in the first year following the disaster for burns, wound care, illness,
and injury. A common complaint came to be called “the Katrina cough” due to the mix of
high temperatures and flooding in homes (Falk and Baldwin, “Environmental Health and
Hurricane Katrina,” Environmental Health Perspective 2006). Mental health is also fragile. A
Harvard University study found that up to 50 percent of Katrina survivors were diagnosed
with post-traumatic stress disorder, and another 20 percent with mental illness.
Disasters don’t just cause short-term health problems; the more people are exposed
to stressors, the more they are at risk for developing long-term mental illness (Gardner,
“Mental Health Woes Doubled,” Health Days 2007; and Hurricane Katrina Community
Advisory Group, Overview of Survey Baseline Results, 2006). Ongoing illness and the
threat of long-term illness is one of many reasons the recovery costs continue to rise. The
more quickly people are able to safely return to their homes, the healthier they will be.
Design professionals and the construction industry have a significant role in the
health and safety of the environment and in disaster management (see Figure 4.2.).
Their role includes a range of activities designed to maintain control over emergency
situations, providing a framework for helping those who are at risk to avoid or recover
from the impact of the disaster (Kelly, Limitations to the Use of Military Resources for
Foreign Disaster Assistance, 1996). FEMA recognizes both as unfilled roles, stating “the
literature on natural hazard mitigation directed toward the architectural profession is
scarce in spite of the fact that architects can make a significant contribution to hazard
risk reduction” (FEMA, A Manual for Architects, 2006).
As a first priority, the American Institute of Architects has been advocating for
architects to engage with local building departments and state emergency management
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tra
Rachel Minnery, AIA
FIGURE 4.2 Disaster Resilience Cycle and the Role of the Architect
agencies to perform building safety assessments when needed. This community
engagement reduces the need for temporary housing and prevents further injury or
loss of life by ensuring that structures are safe to occupy. See Figure 4.3 for an image
of temporary shelter in Haiti provided by one of dozens of nongovernmental relief
organizations after the January 2010 earthquake.
BUI L D I NG DAMAG E AN D SAF E TY AS S E S S ME N TS
Most jurisdictions and emergency management agencies approach building damage
assessments in three phases: windshield assessment, rapid assessment, and detailed
assessment. The same assessment approach is used by the Applied Technology Council
(ATC), a nonprofit professional organization that develops resources and applications
for use in mitigating the effects of natural hazards on the built environment.
• Windshield assessment, just as the term implies, is a drive-by cursory view of damage.
This is typically performed by emergency personnel, local firefighters, and police,
from a vehicle or in conjunction with search and rescue work, to assess the severity
of the damage and public safety impacts of the event.
Rachel Minnery, AIA
FIGURE 4.3 Haiti Temporary Shelter
4.2 The Role of Architects in Disaster Response and Recovery
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• Rapid assessments are performed by local building departments to determine the
habitability and extent of damage of individual structures, often conducted only at
the request of the owner. Typically teams of two perform up to a 30-minute exterior
and interior review of the building damage, sufficient to determine habitability and
if there is a need for further investigation. Buildings are tagged on the exterior with
red, yellow, or green placards to communicate to the owner, resident, and community where the building is safe to occupy and under what conditions: a red tag
indicates it is unsafe to occupy; a yellow tag indicates a restricted occupancy; and
green-tagged buildings are determined safe, though they may have minor damage.
Unfortunately, after Hurricane Katrina, red-tagged structures were misconstrued
as demolition notices, and, regrettably, historic structures were destroyed across the
Gulf Coast when demolition crews haphazardly dismantled and removed redtagged buildings.
• Detailed assessments are the in-depth reviews and assessment of complex buildings,
and are the final step before recovery and rebuilding begins.
Even an earthquake as minor as
the 6.8 magnitude 2001
Nisqually Earthquake in the
Pacific Northwest left 400 people
injured. Architects and engineers
were retained for private detailed
assessments of buildings. Properly
trained architects aided the City
of Seattle in handling rapid
assessments for homeowners
concerned about wall cracks and
chimney damage.
The AIA provides training to architects, building officials, and engineers in how to
perform these crucial assessments to help building departments during what is likely
to be an overwhelming situation. Following a disaster, even a minor one, local building
departments very quickly become inundated by requests for help from residents and
business owners. A job that could take up to six months to complete by building department staff, and often the victims of the event themselves, can be reduced to days with
the help of a volunteer team of architects and engineers. This increased capacity allows
residents to return more quickly and safely to their homes and places of work.
After Hurricane Katrina, 80 California Emergency Management Agency Safety
Assessment Professionals, in two 10-day shifts, assessed homes and business in the face
of very difficult, sometimes harrowing, conditions, reviewing and tagging over 17,500
of the 28,000 properties in St. Bernard Parish. In Alabama, after the April 27, 2011,
tornadoes, 73 volunteer architects donated more than 1,300 hours and performed
7,000 inspections over a five-day period. Nonstructural components typically account
for 60 to 80 percent of the overall cost of building construction, so the initial rapid
building damage assessment is a job suited for the architect, as a generalist design professional. Furthermore, damaged nonstructural elements such as plumbing, mechanical
equipment, light fixtures, suspended ceilings and furniture often pose a greater hazard
than the building itself.
When architects provide rapid assessments, engineers are freed up to focus valuable
assessment efforts on detailed review and complex buildings.
Any given home is evaluated to some extent up to six times after an event: one or
more times by local authorities, FEMA, insurance providers, design professionals, and
nongovernmental disaster response organizations (NGOs). In the case of Hurricane
Katrina, volunteer architects, with interns at their side, performed voluntary Goodwill
Assessments at the request of a homeowner or small business owner for up to a full year
following the storm. The Goodwill Assessment is an objective professional evaluation
of the building damage and may include recommendations for repair. These reports
proved invaluable to many property owners in obtaining repair work reimbursements
as they engaged in extended negotiations with home insurance providers and FEMA.
TH E AIA D I S A S TE R A S S I S TA N C E P R O GR A M A N D
C OMP RE H E N S I V E R E S P O N S E S Y S TE M
Recognizing the complexity of the problems communities face as a result of disasters
and the absence of any similar program or service related to the built environment, the
AIA began providing disaster assistance to communities in 1973. One of the first projects undertaken by the AIA was the recovery and plan for rebuilding after a tornado
destroyed downtown and East Nashville. Architects with experience in similar disasters
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1. Liability coverage. For architects, this is typically provided through a state-enacted
Good Samaritan Law. These laws protect architects and engineers while providing
emergency services in a specific area within a designated time frame. While often
similar in language, the Good Samaritan Law varies from state to state and is not
enacted in all states. As more states exercise the use of the professional Good Samaritan Law, it has come under notable criticism for its lack of legal protection. Without indemnification, a citizen can bring suit against a volunteer architect for
negligence. The process to exonerate the volunteer can be lengthy and expensive.
2. Clarity on workers’ compensation. If an architect experiences an injury or fatality while performing voluntary
After Hurricane Katrina, the Governor of Mississippi, a
damage assessments in an emergency, who is responsistate that is still without a Good Samaritan law for
ble for medical care or other associated costs?
architects, provided a letter authorizing architects to be
3. Standard for professional training for rapid assessment.
temporary contract workers of the state. Minutes later,
Many jurisdictions do not recognize a formal training
the first team of architects headed off to the coast with
program for responding architects and engineers.
state-employed building professionals to perform rapid
Those that do commonly refer to training first develdamage assessments. Without liability coverage, the
oped by the Applied Technology Council (ATC) with
architects could not have volunteered, as it would have
seed funding from FEMA. ATC initially created trainjeopardized their careers or employers in the states
ing and protocol for assessment of earthquake-stricken
where they practice.
structures. In 2005, utilizing the same basic protocol,
ATC developed a training program for structures
exposed to wind and water damage. In recent years, using the methodology of ATC,
the state of California developed the Safety Assessment Program (SAP) for building
officials and other design professionals to assess damage due to a wide variety of
natural and man-made hazards.
With the growing number of training programs and increasing exposure to
liability risk with each event, the AIA has been supporting the American Society of
Civil Engineers’ proposal to FEMA to establish uniform standards of training and
credentialing of engineers and architects to be used nationwide. The training provided by qualified architects has allowed architects to gain firsthand response experience and provide leadership and guidance to local governments, especially valuable
where hazardous events have been rare and/or formal emergency management protocol has not been developed.
4. Network of trained volunteers available and ready for activation. Acknowledging that
response and recovery is the responsibility of the local community, the AIA State
Coordinator Network was formed to encourage identification of a Disaster
Assistance Coordinator and to create an individual disaster assistance program for
each state. The network of volunteers is activated only when a request for professional emergency assistance comes from a local building department or state emergency management agency. Over the past 10 years, thousands of architects
nationwide have been trained in the SAP or ATC program offered through the AIA,
SAP, ATC, International Code Council, and engineering associations.
4.2 The Role of Architects in Disaster Response and Recovery
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provided much-needed insight for the rebuilding process. They were able to effectively
facilitate public workshops and design charrettes with local community stakeholders.
As an outcome of this disaster and design assistance team, a nonprofit community
design center was formed that remains in existence today to support the community.
Over the years, the AIA Disaster Assistance program has evolved in response to
changes in emergency management practices. In 2006 the Disaster Assistance Program,
led by volunteer architects from all corners of the United States, was formalized, and
the Comprehensive Response System (CRS) was created. The CRS includes guidelines
and protocol for architects engaged in the full cycle of disaster management: emergency, relief, and recovery.
There are five critical components of the model AIA policy for the Disaster Assistance Program, with a focus on the safety assessment process.
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5. Portability of licensure. Because architects are licensed by each individual state, not at
a national level, this fifth component of the model policy is critical for larger-scale
disasters. In a disaster, local architects may be tending to their own families and
businesses and thus out-of-state volunteer architects are invaluable. However, they
may not be able to help unless the state architectural licensing board adopts emergency policies allowing licensed architects from other states to serve as “emergency
workers” when deemed necessary by the state. Yet there is concern that allowing
outside architects to participate in the emergency response phase will lead to lost
work and future revenue for local architects. The disaster assistance team must be
sensitive and cautious in their evaluation of the request for assistance. The Florida
SAP trained architects who volunteered to help after the 2011 Alabama tornadoes
were denied because they would be “practicing architecture without a license” in
the state.
ARC H ITE C TS I N R E S P O N S E A N D R E C O V E RY E FFO RT S
While disasters are a problem for all nations, they are an especially critical issue in
third world countries. Natural disasters are the cause of 95 percent of deaths in third
world countries (United Nations Intergovernmental Panel on Climate Change, Special Report on Managing the Risks of Extreme Events and Disasters to Advance Climate Change Adaptations, 2012). U.S.-trained architects have been made available to
other countries in need of assistance, as in the case of Haiti following the 2010 earthquake. Two teams of American architects and engineers were able to perform damage
assessments there, via the nongovernmental disaster relief organization All Hands
Volunteers.
The network of architects in the Southern United States was activated in April of
2011 when a series of tornados struck urban and rural areas of Alabama and Missouri.
Members of the AIA Disaster Assistance Committee conducted damage assessment
training sessions for architects in Alabama. The training sessions paid dividends to
communities like Tuscaloosa, providing services valued in excess of $300,000 (see
Figure 4.4.). Residents were able to quickly and safely return to their homes, allowing
resources to be focused on food and other necessities rather than shelters and temporary housing. Simple prioritizations allow the community to begin recovery and
rebuilding efforts quickly.
Michael Lingerfelt
FIGURE 4.4 Volunteer Architect Michael Lingerfelt Tags a
Damaged Building in Alabama.
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A RCHITE CTS LE A D IN KA N SAS
D IS A S TE R RE CO VE RY
In May 2007, when a 1.7-mile-wide tornado tore through
the rural town of Greensburg with 205-mph winds, an AIA
Kansas Disaster Assessment Team responded by performing
building safety assessments of the 10 percent of structures
left standing. With significant participation of the 1,400
residents of the town that was left completely devastated by
the storm, the disaster assessment team and Kansas design
teams facilitated the recovery decision-making process after
identifying and gathering stakeholders.
Under the leadership of sustainability-minded
architects and design professionals, all public buildings
were rebuilt to a standard that earned them a Platinum
rating from the U.S. Green Building Council’s (USGBC)
Leadership in Energy and Environmental Design (LEED)
program. To educate residents and make them aware of
their options for reconstruction, AIA Kansas hosted a green
building exposition, inviting vendors of green building
products and contractors to attend. This distinctive recovery
effort is considered a great success and has served as a
model for sustainable post-disaster recovery, with more
than 50 percent of Greensburg residents having returned
within three years, rebuilding their homes and businesses.
A RCHITE CTU RE F O R HU M A N I TY
Architecture for Humanity (AFH) links a broad network of
young professionals through its design fellowship program
and chapter organizations. The organization fields requests
from communities struck by conflict, natural disaster, or
other crisis and will often collaborate with other nonprofit
agencies and firms to complete projects. Formed in 1999
by Cameron Sinclair and Kate Stohr, today the San
Francisco–based office employs 36 full-time staff and
manages numerous volunteers for their global work to
alleviate poverty, build community, and address climate
change. Owing to Haiti’s lack of resources, the group was
already working there when the earthquake struck in
January 2010. In a country with only 30 architects, AFH
became involved in seven master planning projects to help
the country recover. While international post-disaster aid is
typically earmarked to specific projects like new housing,
other essential needs for recovery remain unmet. Survivability
is more complex in a place that has nonexistent or
inadequate water treatment, so addressing the obstacles to
sustainable development has been critical to long-term
recovery. As the organization has grown and learned from
their post-disaster experiences, the roles of the nonprofit
organization have diversified to adapt and make an
impact. Collaboration and learning new skills in financing,
grant-writing, land development, and public outreach have
been critical to getting projects off the ground.
4.2 The Role of Architects in Disaster Response and Recovery
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Past community recovery success stories like that of
Greensburg, Kansas, offer insight and inspiration to communities struck in 2011, like Tuscaloosa, Alabama, and Joplin, Missouri. Communities affected by a disaster are eager
to return their lives to the normal condition they knew
before the event. The Greensburg success story offers
hope to survivors of other disasters by demonstrating that
opportunities for positive change can be born from devastation and pain.
Architects can provide vision and community facilitation to create a unique road map for recovery in the creation of a community’s “new normal.” While government
agencies are best suited for response and relief efforts, it is
the private sector that usually leads recovery and reconstruction. Universities and nonprofit organizations with
established community networks have been a vehicle for
architects, designers, and students to contribute to recovery efforts. Nonprofit design centers have sprung up and
rooted themselves permanently in communities as a result
of a disaster. Architecture for Humanity is one well-known
organization that provides humanitarian design-build
services after disasters.
Architects are eager to help after a disaster, yet those
good intentions need to be guided to be effective or, if realworld parameters are not understood, they could do harm.
In Mississippi, architects and historians worked together to
develop design standards for repair and rebuilding the city
of Biloxi. Design competitions can be a great way to energize a community by soliciting innovative ideas for reconstruction, and are especially effective when the design
process is inclusive of future residents and stakeholders. The
Make It Right Foundation built sustainable, storm-resistant
houses in New Orleans to model responsible rebuilding on
flood-prone land. Yet making structures viable and resilient
has the potential to also make them unaffordable to the
average homebuyer. The feasibility of reconstruction is
based on many variables, first of which is the availability of
funding and financing for property owners.
As a response to significant criticism of the health and
habitability of the FEMA trailer, several architects developed designs for temporary and transitional housing following Hurricane Katrina. One of the most well-known is
the “Katrina cottage,” a 308 square foot single-story home
designed by Marianne Cusato. At a cost equal to or less
than the FEMA trailer, Cusato’s adaptable design could be
made permanent and allow for future additions and renovations. All too often, temporary housing has become permanent because of a lack of resources, and still local
government officials feared that the small houses would
drive property values down (Jarvie, “Post-Katrina cottages
get a lukewarm welcome,” Los Angeles Times, 2007). Yet due
to their success and popularity, national retailer Lowe’s
began selling the house kit not just locally but nationally as
an economical DIY housing alternative, similar to the
Sears & Roebuck kit houses of the early 1900s.
PA R T 1 : T H E P R O F E S S I O N
Judith Kinnard, FAIA, and Tiffany Lin
FIGURE 4.5 Sunshower House by Judith Kinnard, FAIA, and
Tiffany Lin
Creative solutions for post-disaster homes and shelters have evolved to improve the
way sustainable homes are designed for the masses. Judith Kinnard, FAIA, and Tiffany
Lin’s Sunshower House, as shown in Figure 4.5, is a climate-adaptable modular home
design that is packaged to be flexibly transported by a single shipping container.
Inspired by the walk-in coolers that had the distinction of surviving hurricane Andrew,
the design features structurally insulated panels that withstand wind speeds up to
156 mph. While “deep green” sustainability promotes living “off-grid,” survivors of a
disaster are forced to live in those conditions. A structure that could be considered both
resilient and sustainable, the roof generates electricity from either solar panels or a
wind turbine and collects water from the roof for reuse.
DISAS TE R R E S I LI E N C E A N D BU I LD I N G MI TI GATI O N
Communities can prepare themselves for potential disasters and mitigate or reduce the
impact of hazards so that they will not have to rebuild their homes and businesses.
When risks are addressed ahead of time, the potential for damage will decrease. As
expressed by FEMA, “mitigation has long been perceived and practiced as an essential
tool for helping to save lives, reduce property damage, and decrease the money spent on
disaster recovery efforts.” Informed and trained architects can be advocates for increased
public education and awareness by conveying the risks owners face and demonstrating
how those risks can be reduced through specific building mitigation methods.
Government leadership can prioritize community needs and resources to address
the hazards and mitigate the potential consequences. Vulnerability is reduced with
thoughtful design and construction methodologies. Common building practices have
evolved to create safer, healthier, and more affordable buildings, enhancing quality of
life. Post-disaster building performance assessments and scientific analysis inform
design professionals and those responsible for building code changes and flood mapping revisions.
The increasing occurrence of disasters coincides with concern over climate change
because both present significant modifications in the environment that require adjustments in design approach. As climate change brings more floods and droughts, demand
for clean water is projected to increase. Rising sea level will diminish coastlines and
impair infrastructure. Therefore, addressing the impact of climate change is integrally
connected to achieving disaster resilience. The World Mayors Council on Climate
Change is working toward strengthening cities’ commitment to mitigation measures.
Disaster resilience can be strengthened by sustainable design methods that incorporate
long-term ecological resilience: green storm water infrastructure reduces urban
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Building Retrofits
For existing buildings, passive retrofits are implemented when new building codes are
put into effect when property owners voluntarily decide to add, renovate, or demolish
a structure or rebuild after a disaster. In some cases, local jurisdictions have enacted
active retrofit policies to retrofit certain building types in advance, for public safety. In
other cases, code requirements for seismic bracing or modest life safety improvements
are not always enforced.
Retrofit and mitigation practices incorporated into building codes are credited with
saving homes and lives. These are fairly simple measures such as hurricane clips, shear
walls, and hold-down anchors, among other refined construction practices. Though
not required in coastal communities, the use of hurricane shutters, fabric, or impactresistant glass along with heavy-duty garage doors is shown to prevent extensive damage by protecting openings that otherwise would expose the interior of the house.
Financial incentives for pursuing existing building retrofits work well when used in
combination with compliance deadlines, as is the case for early adopters of newly classified flood zones. Home and building insurance discounts and rebates provide further
promise when they incentivize elective retrofits and mitigation, reducing homeowners’
insurance rates up to 50 percent. In devastating tornados, safe rooms—small, fortified,
self-contained rooms typically made of steel and bolted to
a building’s foundation—have frequently been the only
CA S E S TU D Y: RE TRO F IT F OR A
vertical portions of the structure left standing. In 2012, it
N O N P RO F IT HU M A N S E RV I CE S
was reported that a safe room in Mississippi withstood an
O RG A N IZ ATIO N
EF-5 tornado, protecting the 10 people who sought shelter
in it during the storm. These lives might have been lost if
A highly regarded nonprofit organization in Seattle,
the storm had occurred just a few years ago, prior to the
Washington, that provides community-based human and
Mississippi State Emergency Management Agency’s proemergency services occupies a 51,000 square foot
gram “A Safe Place to Go.” The program incentivized
three-story unreinforced masonry school building
homeowners with a 75 percent reimbursement of the
originally constructed in 1911. In 2003 a remodel
installed cost (up to a maximum of $4,000) of a safe room.
design, which included seismic upgrades per the 2003
Challenges to Disaster Resilience
Change is inevitable after a disaster strikes a community. If
local governments want future federal post-disaster assistance, they are required to implement policies that will
mitigate principal damage. With evidence of flood and
storm surge risks, FEMA updates its Advisory Base Flood
Elevations (ABFE) for inclusion in new building and land
use codes and retrofit guidelines for elevating structures
above grade. During Hurricane Katrina, the highest winds
on land were clocked at 175 mph, though the active building code set a design wind speed of 110 mph. As a result,
the 2009 International Building Code has increased the
design standard to 150 mph. When the building code and
land use policies change, the cost of recovery is reduced.
An obvious challenge to disaster resilience is the economic burden. Low-income populations are inherently
more vulnerable in a disaster due to a lack of resources.
building code, was put out to bid. The upgrade was
estimated to cost $268,000, approximately 10 percent
of the overall cost. In 2010, when remodel funding was
secured, the code’s approach to seismic design had
changed so dramatically that the seismic retrofit was
estimated to cost almost five times its original bid. The
project remains stalled due to increased costs, so the
building has not been remodeled to meet the tenant’s
changed needs, and it has not been seismically
retrofitted. This cost-based catch-22 is another lose-lose
situation for the owner and the public. If funding
becomes available, a difficult decision must be made:
Demolish the 100-year-old, culturally historic, yet unsafe
building, or rebuild to create a fully code-compliant
facility for approximately $7 million.
The predicament the organization faces is not
uncommon to nonprofit organizations and those with
limited resources.
4.2 The Role of Architects in Disaster Response and Recovery
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flooding, coastal wetlands buffer storm-surge, green roofs cool buildings, and parks
reduce heat island effect.
One of the most significant issues facing the built environment is the current stock
of largely unregulated existing buildings. Architects, engineers, and authorities work to
ensure that buildings are constructed properly, yet after buildings are constructed little
is required of a building owner in terms of testing and monitoring the building’s safety.
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Those with the fewest resources often build and live on the least desirable land. Even
without a disaster, finding affordable homes and places of business in poor communities can be a challenge, and renters are dependent on property owners to maintain safe
and available homes. Seismic technologies, for instance, add on average 10 percent to
the cost of residential construction. For families struggling to meet their basic needs,
this slight increase can be the difference between a having a home and not having a
home.
New Building Codes
For building construction to be cost effective and safe, the methodology of the building code is to preserve life, not to protect against loss of property or function. Building codes represent minimum standards, and the few who design in excess of the code
usually do so because of an owner’s risk management practices. The standards to
which a building is designed and constructed is critical because it will determine a
safety baseline, the building’s capacity to weather change over time, and therefore its
resilience.
Resilience refers to an ability to adapt to change over time. A fully resilient community would suffer limited negative consequences of a natural hazard. The State of
Washington, for example, has defined a resilient state as “one that maintains service
and livelihood after a major hazard. In the event that services and livelihoods are disrupted, recovery occurs rapidly, with minimum disruption, and results in a new and
better condition affecting Property Protection, Economic Security, Life Safety and Human
Health, and Community Continuity, where all communities should have the capacity to
maintain social networks and prevent social discrimination and social bias.”
The resilience of the built environment is defined well in terms of its resilience as
a whole system. ResilientCity.org is a not-for-profit network of design professionals
whose mission is to develop creative, practical, and implementable planning and design
strategies that help increase the capacity for resilience. They define a resilient city as
“one that has developed capacities to help absorb future shocks and stresses to its social,
economic, and technical systems and infrastructures so as to still be able to maintain
essentially the same functions, structures, systems, and identity” (www.resilientcity.org).
The San Francisco Planning and Urban Research Association, or SPUR, a nonprofit with the goal to make cities truly resilient, acknowledges the direct relationship
between building codes and resilience. “When we select engineering [and design] standards for buildings and lifelines, we are really choosing how many deaths, how many
building demolitions, and how long a recovery time we have for various levels of earthquakes.” This distinction, and the degree to which new buildings are capable of withstanding natural hazards, is largely misunderstood by the general public, who often
assume that a new building can weather any storm, so to speak.
One tool to inform the design team and communicate expectations to the owner
and building official is building performance modeling—the use of drawings, photos,
and the like to construct a unique model within simulation software. Although modeling is only as good as its data input, it could be a useful tool for prioritizing mitigation
technologies (see Figure 4.6.). With the intent to encourage the design of buildings to
higher standards and with increased reliability, building codes have been moving
toward a performance-based design approach. Performance-based design focuses the
design on meeting a set of established goals rather than a building program based on
minimum design standards.
Adoption of building codes by a jurisdiction is voluntary, and code enforcement
poses a significant challenge to local building departments, whose resources are often
stretched and whose personnel may lack adequate training in code enforcement. The
consequence of irregular enforcement has resulted in inadequate construction and
ultimately unnecessary damage and destruction of structures. Conditions such as these
were discovered during damage assessments of tornado-stricken homes in the Midwest.
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Research/
New Knowledge
PA R T 1 : T H E P R O F E S S I O N
Lessons Learned
Research to Practice
Guidance and
Tools Development
Reduced Disaster
Losses
Outreach and Implementation
Technology Transfer
Building Codes and Standards
Disaster Resistance
FEMA
FIGURE 4.6 Building Damage Mitigation Cycle
Approaches to Resilient Design
As a result of the Disaster Mitigation Act and Stafford Act, most cities have mapped
their hazards, determined likelihood of occurrence, and anticipated impacts. Risks
associated with those hazards are incorporated in mitigation plans to reduce loss from
those hazards and to help prioritize local and federal mitigation funding. HAZUS, a
software program developed by FEMA, estimates losses due to natural hazards at a
regional level and can include utilities, bridges, and general number of structures.
These tools inform decision making for land use and future development.
Architects can support a community’s hazard mitigation plan by establishing resilience goals for their development projects. This is facilitated through site assessment,
including collecting data from National Weather Service, FEMA’s National Flood
Insurance Program (NFIP), United States Geological Survey, and state or university
surveys and research. Some jurisdictions have GIS mapping that includes hazards for
floods, liquefaction, landslides, and the like. A detailed site-specific investigation,
including the availability and condition of existing infrastructure, may illuminate development feasibility.
Having early conversations with clients to understand their comfort with risk will
help determine acceptable levels of disruption in a disaster and establish appropriate
design standards. It is important to communicate to owners that code compliance sets
a minimum life safety standard with very limited protection of property. This may
cause owners who depend on continuity of service for the long-term survival of their
business to choose a design standard that exceeds the building code. Expectations can
be outlined with a vulnerability assessment, where potential hazardous event scenarios
are defined, modeled, holistically assessed, and analyzed for performance impacts and
4.2 The Role of Architects in Disaster Response and Recovery
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▶ The backgrounder
accompanying this article,
Resilient Design, further explores
the concepts of resiliency.
costs. This assessment would include investigations of resources and systems outside
property limits: uses, site access, utility/infrastructure, backup systems for water,
waste, electricity, and communications. This additional knowledge may alter design
to provide additional safety and improve durability of the building through hazard
mitigation.
Mitigation begins at the outset of design when decisions are made regarding the
building’s configuration and footprint, yet mitigation is not exclusively structural. Nonstructural building elements account for up to 80 percent of the value of a building—
including windows, ceilings, interior partitions, equipment, furniture, and utilities—and
are inherently less durable. Therefore, they are more susceptible to damage and may
also negatively affect the structural performance of the building and prevent habitability.
As seen with recent developments in the building code, the philosophy of mitigation is moving toward a resilient design, in that robust and resistant design is being
replaced by design that is adaptable, flexible, and responsive.
C ON C LU S I O N
The Loma Prieta earthquake of 1989 provides perspective on the long-term effects of
a disaster in modern times. A post-earthquake economic recession struck northern
California with building damage and loss greatly exceeding projections. Development
decisions might have been different if building owners had understood the level of
protection offered by building code standards. Engaging the public in decision making
on acceptable building performance is important because the actual performance
expected of a code-compliant building, and particularly existing buildings, is not widely
understood. As difficult as the Loma Prieta recovery was, time has a way of minimizing
if not erasing the memories of lessons learned.
FEMA statistics show that resilience is improved through mitigation. The potential
for loss can be greatly reduced when mitigation practices are incorporated into both
retrofits and new construction. Every dollar spent on mitigation saves at least four dollars in recovery, yet mitigation saves more than dollars—it also saves lives. However, to
consider the resiliency of a home, one must consider the resilience of the community
at large. As such, homeowners experiencing recurring floods who choose to relocate
their families to a safer location will also have relationships and routines to rebuild to
make a new house feel like home.
There will never be a lack of need for safety assessments of damaged buildings and
for the skills that architects can offer to aid in the recovery from a disaster. The AIA
model policy for a Comprehensive Response System is one starting point, created to
equip architects with the guidance and tools they need, prepare them for the risks they
face, and help them protect the communities they serve. Awareness, knowledge, and
options for positive action can empower individuals to create resilient sustainable
communities.
Fo r M or e In for m a t i on
AIA Disaster Resources: www.aia.org/disasterresponse/.
California Safety Assessment Program: www.calema.ca.gov/Recovery/Pages/SafetyAssessment.aspx.
Applied Technology Council: www.atcouncil.orgFEMA.gov/plan/prevent/
bestpractices/index.shtm.
FEMA 454, “Designing for Earthquakes: A Manual for Architects”: http://www.fema
.gov/library/viewRecord.do?id=2418.
Federal Emergency Management Agency (FEMA) Coastal Construction Manual
(CCM): www.fema.gov/residential-coastal-construction#1.
National Earthquake Hazards Reduction Program (NEHRP): NEHRP.gov.
The National Tsunami Hazard Mitigation Program of NOAA, “Planning for Tsunami:
Seven Principles for Planning and Designing for Tsunami.”
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TH E R OL E OF ARC HIT EC T S IN D A M A G E
AS S ES S M ENT AN D REST ORATIO N
S har on L ob o
The role of architects in damage assessment and repair
involves working toward solutions to unique problems, since
disasters are unique events. The architect is often involved in
the rebuilding efforts, since they were part of the original
design team and must work with insurance adjusters, attorneys, clients, and other professionals and coordinate with
governmental agencies.
Sharon Lobo is a licensed architect with over 20 years of architectural experience. With Thornton Tomasetti, Erwin Lobo
Bielinski PLLC, and Indus Architect PLLC, Lobo has developed an investigation, litigation support, and construction
analysis practice. She is regularly retained by national insurance carriers to investigate claims for building damage.
BU IL D I NG D A M A GE A S S E SS M E N T
Building damage can be existing and may have been caused
by substandard installation, poor design, or lack of maintenance. Building damage can happen at any time, ranging
from minor wall cracks to structural failure, and it is not
always catastrophic in nature. Any combination of these
causes may result in a building’s exterior and structural systems failing prematurely, and may cause additional damage
such as air and water intrusion into the building’s interiors.
The architect can act as a conduit for communication after a
disaster or damaging event to assist the owner in understanding causation.
For example, the architect can communicate to the client
the difference between building damage and normal wear
and tear. In the latter case, over years minor cracks may
develop that are not threatening to the building. These can
be caused by prolonged exposure to sunlight or wind. The
client should be made aware that no construction is without
flaws and that some minor instances of cracking are within
accepted industry standards.
• If an architect is the original designer of the damaged
building, expert opinions should not be offered regarding
the cause of the damage because the client may incorrectly
interpret the original architect’s technical opinion regarding the cause of the damage or believe that the architect
may be in some way responsible. Even if obvious, the
architect should arrange for an independent third party
who has expertise in the damage assessment to opine.
• The architect, if the original designer, should provide the
project history to the expert who is hired. This project history is crucial in understanding what materials were used
and, with the help of the original builder, under what
conditions they were installed. There are often mitigating
circumstances, and the architect can usually help “fill in
the blanks” about the specifics.
• Even if the architect is seen as partially or wholly responsible for the damage to the building, it may be within his
or her best interests to work with the client to develop the
repair. The architect can serve as a conduit between the
client and the contractor. When damages from disasters
occur, clients sometimes consider litigation, and the architect can help facilitate bringing to the table participants
necessary for diffusing such conflicts.
AS S EMB LING TH E R IGH T TEAM
The right team consists of professionals with specific experience in assessing building damage and formulating a repair
strategy. These professionals should be adept at following the
unique protocols that are often established, such as the
following:
• Documenting the damage with photos, video, and field
drawings. A particular order and sequence of documentation must be established.
• Developing a methodology for investigating damage. This
may involve deconstructing a building’s defective assembly (such as an exterior wall system) in a controlled
method to document each component of the system. Each
of the interested parties should have a representative present and document the deconstructed system individually.
In some cases, additional testing may be deemed necessary, and all parties must agree on the testing methodology. ASTM and ANSI standards are often used as testing
guidelines.
• Communicating with the legal or insurance representatives in a manner that they deem appropriate. Some attorneys prohibit written or e-mail communications of any
kind, citing lack of attorney-client privilege, preferring
direct discussion or telephone communications only. Others depend on written communication. Be aware that
e-mails are typically not protected by attorney-client privilege; rather, e-mails are increasingly used as evidence.
Therefore, the architect should write them with the knowledge that they may be used in the courtroom. The tone in
an e-mail should be direct but unemotional, relying on
factual information only.
• Consulting with the attorney or insurance company. They
may lead the team, but they often depend on the architect
for advice on how to bid the repair, how to meet the code,
and how to learn from the building damage. The rebuilding effort is more fluid than the conventional design process of a new building, and it is often constrained by
increased time pressures and varying levels of available
resources.
(continued)
4.2 The Role of Architects in Disaster Response and Recovery
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BACKGROUNDER
PA R T 1 : T H E P R O F E S S I O N
The team may consist of forensic architects or engineers,
cost estimators, restoration contractors, insurance adjusters,
and attorneys. Depending on the size and scope of the building damage, the team may range from a few to several hundred professionals. The client and often the insurance provider
must approve the hiring of professionals. Depending on the
insurance policy, these professionals’ fees may be covered.
state or city levels, and they often require the approval of
local code officials, specialized inspectors, and product manufacturers. After a disaster occurs, architects are sometimes
held accountable for these requirements if litigation ensues.
Therefore, the architect should make every effort to appropriately include these parties in the design and construction
phases.
F O RMU L AT I NG A R E PA I R ST R AT E GY
C AS E S TUDY
The architect often works with the building owner to plan and
“program” a new building. Likewise, an architect can be
especially useful to “reprogram” an existing space or footprint after a building disaster.
The architect may be asked to speak with product manufacturers in regard to warranty coverage. Manufacturers
often choose to interpret building damage causation to events
that negate their warranty, such as improper use or installation of the product or lack of maintenance and inspection.
Clients are not always technically sophisticated enough to
understand the limitations of the warranty. Architects can
assist as an owner’s advocate to obtain whole or partial
replacement of the product, whether a roofing system or a
window unit.
A high-end residential project in Boston experienced premature cracking in the wood flooring. The client refused to move
into the residence in anticipation that the wood floors would
be removed and replaced, thus costing him additional moving expenses.
The flooring subcontractor and general contractor refused
to return to the project if the owner demanded total replacement. The design architect brought all parties to the table and
convinced the client to hire Indus Architects as an expert to
provide an opinion. The design architect arranged for Indus
Architects to inspect the floors, review the project documentation, and provide an opinion regarding causation and damage repair. The architect provided supporting documentation
such as project e-mails, letters, and product submittals.
Indus concluded that the product was appropriate for its
use and the cracking was within industry standards. They
determined that the wood floor needed to acclimate to the
HVAC system and the client’s occupancy would help lessen
the perceived damage. The architect’s role in this case was
to facilitate communication, provide project history, and manage what was becoming a tense emotional situation.
C O O RD I NAT I N G W I T H GOV E R N M EN TAL
AG E NC I E S
Governmental agencies often have requirements that can
negatively affect a rebuilding effort, such as detailed documentation of rebuild designs when in sensitively zoned areas.
For example, the New York City Department of Environmental Protection requires a Remedial Action Plan (RAP) for building modifications made within certain historic districts. This
includes designing for an Alternate Means of Ventilation
(AMV), which affects the design of windows, mechanical systems, and the exterior envelope. The intention is that the
building be able to function with all doors and windows in
the closed position with increased sound insulation and
mechanical ventilation. These more stringent requirements
must be taken into consideration when managing damage
assessment and repair.
Additionally, energy codes and other national codes are
often supplemented with more stringent requirements at the
C ONC LUS ION
The architect, as a leader and project advocate, can be beneficial as a conduit of information and communication.
Though stresses of time constraints and high emotions are
often present when building damage occurs, the architect
should have the technical means and personal communication skills to bring about a successful resolution to most problems. Even if the architect is found to be ultimately responsible
for the problem, working with the client to repair it may avoid
litigation and possibly bring about a long-term professional
relationship.
BACKGROUNDER
R E S IL IENT DESIGN
Ale x Wi ls on
provides for building occupants during extended power
outages, shortages of water, and interruptions in motor fuel
supply.
“Resilient design” is not only about surviving a storm,
flood, or other natural disaster but also about creating
buildings and communities that will maintain safe, livable
conditions in the aftermath of a disaster. Resilient design
Alex Wilson, the founder of BuildingGreen Inc. in Brattleboro, Vermont, and executive editor of Environmental
Building News, is a leading expert on resilient design
and adaptation to climate change.
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Storm Resilience
Much of the focus of resilience has been on the ability of
buildings to weather storms, floods, and a variety of other
natural disasters. But in an age of climate change and
resource constraints, the concept of resilience should be
broadened to include how well buildings and communities
perform with non-emergency (slow) disasters. These can
include heat waves, extended drought, interruptions in water
supply, extended power outages from any cause, spikes in
fuel costs, outright fuel shortages, and even food shortages.
Some of these impacts can result from climate change.
Others may result from natural disasters unrelated to climate,
such as the devastating tsunami that struck Japan in early
2011 or a terrorism event. Some experts are particularly
alarmed about the risk of cyberterrorism, in which terrorists
hack into the controls of power plants or regional electric
grids, causing widespread power outages that affect nearly
all buildings in that area.
Resilient design is an effort to create buildings and communities that will maintain livable conditions both during
disasters and in the aftermath of such disasters—which can
extend much longer than the particular event. For example, in
2005 there were widespread power outages throughout the
Gulf Coast region that lasted weeks or months after Hurricane
Katrina, even in areas not directly affected by flooding.
Architects need to be aware of society’s vulnerability to
power outages—which may result as a secondary effect of
other problems. An extended regional drought could result in
widespread power outages if water levels drop so low that
power plants have to be shut down for want of cooling water.
In the United States, 89 percent of electricity is generated
using thermoelectric power plants that depend on large volumes of water to condense steam. During the 2007 drought
in the Southeast, one power plant was forced to shut down;
several dozen more were threatened with shutdown had the
drought continued. A 2003 drought and heat wave in Western Europe resulted in more than a dozen power plants either
shutting down or reducing output—just when air conditioning
loads were at record levels. The droughts in the West in
2011 and 2012 raised these same concerns.
Resilient design is most applicable to residential
buildings—homes and apartment buildings—because unless
evacuation is called for, residents are often advised to stay
home during emergencies. But it also applies to public buildings that serve as emergency shelters. Schools, sporting venues, and other public buildings often serve as places of
refuge during times of disaster.
Architects should consider the predicted impacts of climate
change, including increased storm intensity. Warmer temperatures will drive more intense storm systems, including
hurricanes, thunderstorms, and tornadoes. Changing precipitation patterns are expected to produce more intense
rainfall events.
Achieving storm resilience involves designing to the most
stringent wind and water-intrusion codes, such as the MiamiDade County Hurricane Code. Such standards should be followed not only in coastal areas, but also throughout much of
North America. It also makes sense to incorporate areas of
safe refuge in homes or garages. Such safe rooms provide
excellent protection even in tornadoes, our most devastating
storm events. Requirements for safe rooms may be incorporated into future editions of buildings codes in some zones.
E L E ME NT S OF R E S I L I E N T D E S I GN
Resilient design encompasses a wide range of seemingly disparate building design and operation issues as well as much
broader, macro-scale land-use planning and policy issues—
all with the goal of ensuring public safety. These issues are
introduced here.
Flood Avoidance and Flood-Proofing
Climate change will contribute to flooding in several ways: It
will produce heavier precipitation events; more intense tropical storms will result in coastal storm surges; and the sea level
will gradually rise. Designers and planners should immediately begin designing buildings and communities to protect
from flooding.
Risk of flooding is defined by the Federal Emergency
Management Agency (FEMA) and indicated on Flood Insurance Rate Maps as follows:
• Special Flood Hazard Areas have a 1 percent chance of
flooding in a given year (“100-year storms”) and are designated as specific zones, including Zone A and Zone V.
• Moderate Flood Hazard Areas have a 0.2 percent risk of
flooding in a given year (“500-year storms”) and are
often designated as Zones B and X.
• Minimal Flood Hazard Areas lie above the 0.2 percent
risk elevation.
Building strategies related to flooding include avoidance
of all areas identified on FEMA maps as Special or Moderate
flood hazard areas, elevating living spaces in buildings
within these zones (providing break-away barriers on the
lower level), elevating mechanical and electrical systems
within a building (especially in basements), and using building materials that can sustain wetting without permanent
damage or fostering mold production.
Superinsulated Building Envelope with
Passive Solar Gain
A resilient building is one that will maintain livable conditions
in the event of an extended power outage or loss of heating fuel
or mechanical cooling. (The vast majority of heating systems
and virtually all cooling systems depend on electricity.) The key
strategy for achieving such resilience is to design a building
enclosure with high levels of insulation, high-performance windows, airtight construction, and passive solar gain.
(continued)
4.2 The Role of Architects in Disaster Response and Recovery
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BRO AD E NI NG T H E D E F I N I T I ON O F R ES ILIENC E
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To achieve this level of resilience, insulation levels and
glazing standards should go far beyond what is required by
the International Energy Conservation Code (IECC). For
example, in IECC Climate Zones 5 and higher, one should
aim for the following minimum R-values:
•
•
•
•
R-10
R-20
R-40
R-60
under slabs
for foundation walls and slab perimeters
for above-ground walls
for ceilings or roofs
Window energy performance and air tightness should
be commensurate. Sun tempering or passive solar design
should be provided in these climates so that livable temperatures will be maintained in winter months even with loss of
heating fuels or electricity.
Cooling Load Avoidance and Natural Cooling
During power outages, air conditioning systems do not function, so controlling heat gain is critically important. The summer of 2012 provided a wake-up call to this reality, when a
heat wave blanketed many of the Mid-Atlantic states following intense storms that knocked out power for a week or more
in some places. Strategies include minimizing glazing, especially on east and west façades; providing exterior overhangs and shading systems for fenestration; providing
light-colored (reflective) roof and wall surfaces; providing
vegetative shading and green roofs; and designing buildings
to provide ventilative airflow through operable windows.
Emergency Water
Having a supply of stored water can be extremely important
during periods of water shortage. Water storage can consist
of keeping on hand several carboys of potable water (the
type used in water dispensers) or larger cisterns. For nonpotable uses, such as toilet flushing, a rain barrel positioned at
the corner of a house can provide a water source. Fullfledged rainwater harvesting systems with aboveground or
underground storage provide the best in resilience.
Emergency Generators
Backup generators are one component of resilience and,
indeed, they are becoming more and more common in much
of the country. But we learned in the aftermath of Hurricane
Katrina that most generators either ran out of fuel or failed
after just a few days—while the power outage lasted many
weeks.
Renewable Energy Systems
To provide livable, functional daytime-use spaces during
extended power outages—a high priority in school buildings
and other community spaces that can serve as emergency
shelters—incorporate plenty of daylighting. Daylighting strategies vary by building configuration, but can include skylights, clerestory windows, and conventional windows,
especially those high on walls. Lightshelves and light-colored
ceiling and wall surfaces can help to distribute daylight
deeper into rooms.
Solar-electric (photovoltaic or PV) systems can provide the
ultimate in energy resilience by providing electricity during
extended power outages—but grid-connected PV systems
require specialized inverters and at least some battery storage to be usable when the electric grid is down. Most PV
systems are unusable during power outages, even during the
daytime when the sun is shining. For resilience, be sure to
provide a system that can function when the grid is down—
these are sometimes referred to as “islandable” PV systems.
Solar water heating can provide hot water during power
outages or fuel shortages, but to function without grid
electricity it needs to be a passive solar water heater, such as
a thermosiphoning system (with the tank positioned above
the collector) or an integral-collector-storage (batch) heater,
or an active system with its own integrated PV module to
power the pump and provide control (when the sun shines,
the PV module generates electricity and the pump operates).
In rural areas, some homeowners augment solar water heating with a wood stove that has a heat exchanger in it through
which water circulates.
Water-Efficient Fixtures, Equipment, and Landscaping
Durability
With climate change, droughts are predicted to become
more common in certain regions, such as the American West,
even as overall precipitation increases. During droughts—
and during extended power outages in rural areas that
depend on electric pumps to provide water—minimizing
water use is a high priority in achieving resilience. The use
of high-efficiency toilets, low-flow showerheads, low-flow faucets, and water-efficient clothes washers and dishwashers are
top-priority strategies in residences. While these systems will
function with less water, the installation of composting toilets
allows operability with no water and with a nonfunctioning
sewage system. Low-water-use landscaping (xeriscaping)
and, where needed, water-efficient irrigation equipment are
top priorities outdoors.
With climate change, the ranges of termites and other woodboring insect pests are extending farther north, so control
measures may be needed where they were not in the past.
Good building science practices will help to protect against
moisture damage and other problems that lead to premature
failure of building systems and buildings—one aspect of
resilience.
Daylighting
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Community Resilience
Resilient communities are communities that can function during times of gasoline and diesel shortages. Political upheaval
in oil-producing countries, storms that take out a significant
fraction of oil refining capacity, or terrorist actions that damage pipelines could all result in temporary shortages of fuel.
Food System Resilience
Food production in North America is extremely centralized,
with much of our produce shipped from California and most
grains from the Midwest. Severe, extended drought in foodproducing regions could have significant effects, as could
shortages of diesel fuel, upon which most shipping of food
depends.
Greater resilience can be achieved through a focus on
local food production. Strategies to achieve greater food system resilience include the creation of community gardens on
abandoned urban lots, support of CSA (community-supported
agriculture) farms, programs to supply schools and hospitals
with local food, the protection of agricultural land (for example, through the creation of urban growth boundaries), and
the relaxation of regulations that prohibit farming activities in
4.3
more-developed areas. Landscape architects can even begin
incorporating edible landscaping into their projects, allowing
our landscapes to serve double duty.
TH E AR C H ITEC T’ S ETH IC AL R ES PONS I BI L I TI ES
Faced with climate change and other vulnerabilities, should
resilience be a part of the design profession’s responsibility
to protect public safety and welfare? Some argue that just as
architects must create buildings that are structurally sound, so
too should they create buildings that will ensure that residents
will be safe in the event of extended power outages, loss of
heating fuels, droughts, heat waves, damaging storms, and
other impacts likely to increase in the years and decades
ahead.
Building codes could also be expanded to address these
issues more directly. Most disaster-related building codes
today focus only on performance during the event and not
the aftermath. Codes could be expanded to address building
performance relative to life-safety during a scarcity of power,
heating fuel, or water. New York City is already examining
these issues, as are some other progressive cities around the
country.
A significant benefit of many of the resilient design strategies introduced here is the mitigation of climate change.
Creating more energy-efficient buildings and relying more on
renewable energy sources, for example, will result in burning
less fossil fuel and contributing less to climate change. Such
measures will also reduce the operating costs of our buildings. These are win-win-win solutions.
Architects in the Nonprofit Sector
David Gamble, AIA, AICP, LEED AP
Increasingly, architects and young designers are looking for opportunities to
become more engaged. They seek ways to have a direct and positive influence
in the communities where they work and live. Civic engagement, once deemed
passé, is becoming cool again.
I NT ROD U C T I ON
One of most powerful skills to learn as an architect is the ability to solve multiple
variables in the fewest number of moves. Since an architect is an individual who
works in the service of clients (both public and private), a primary product of an
architect’s work is the creation of more efficient, sustainable, and beautiful environments. This skill is directly associated with the ability to think spatially and to
David Gamble is principal of Gamble Associates, an architecture and urban planning firm in
Boston. He is 2012 co-chair of the Urban Design Committee of the Boston Society of Architects
and past president of the Community Design Resource Center–Boston.
4.3 Architects in the Nonprofit Sector
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While actual shortages could occur, perhaps more likely are
dramatic price increases that could effectively create fuel
shortages for people who can’t afford to fill their fuel tanks.
In such a situation, the ability to get around without a car
will be critically important. To foster that, we should be
designing towns and cities to be easily walkable and bikeable, and we should develop better public transit systems.
Communities that work to achieve high rates of bicycle and
public transit ridership, such as Portland, Oregon, will be at
a great advantage should there be interruptions in transportation fuels. Use of locally produced biodiesel and sitegenerated electricity in electric vehicles or plug-in electric
hybrid cars can also deliver resilience.
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▶ See the backgrounder
Independent Community Design
Centers (4.4), and the
backgrounder accompanying this
article, Community Design
Centers in Context, for related
information.
▶ A backgrounder
accompanying this article,
Architects in Large Nonprofits,
further discusses the opportunities
for architects who work on staff
for nonprofit organizations.
synthesize. Equally important, and often more difficult to learn, is the skill of
designing not just the product but also the process to arrive at an elegant design
solution. Learning that the process of engagement can directly affect the process
of designing the product is fundamental to the development and maturation of an
architect.
Working with the nonprofit sector provides enormous benefits in this regard. Notfor-profit organizations seldom have the financial resources to allow designers unlimited constraints for a project. Tight fiscal budgets, restricted staff time, and diverse
constituents require design solutions that balance multiple variables and require effective negotiation skills.
While these limits can be present in any project large or small, architects working
in the nonprofit sector are embedded in an environment that demands cost-effective
solutions, fostering creativity and requiring efficiency. When this work is nested in
underserved or distressed neighborhoods where more diverse voices must be considered, even greater skill at community engagement is warranted.
The pedagogy of design education typically revolves around the studio culture, and
most students or recent graduates feel comfortable operating in the world of design.
Unfortunately, there are fewer opportunities as a young architect to be directly involved
in the process of community engagement and the valuable lessons that can be drawn
from direct client interaction. Working with nonprofits can open up opportunities to
architects of all experience levels to be exposed to these dynamics, and provide invaluable lessons that can be applied in all facets of the profession.
Fortunately, there are a variety of ways in which an architect, intern, or student can
pursue work in the nonprofit sector. One way is to seek out volunteer (or pro bono)
work on behalf of clients. This interaction often takes place in collaborative settings
with other volunteers. Another venue for engagement lies with Community Design
Centers (CDCs) that may or may not have an academic affiliation. There are a variety
of CDC models, but these locally based organizations work directly in the communities
they serve.
Still another opportunity is the path of architects who work directly for a not-forprofit organization in which they apply their problem-solving skills and design acumen
directly for the organization.
Regardless of the direction one takes, working in the nonprofit sector can bolster
skills, foster connections, and heighten one’s awareness of the communities in which
one works.
PRO BON O WO R K
The term “pro bono” commonly refers to work that is done without an expectation of
payment. The complete phrase is pro bono publico, which further clarifies the meaning
of the work as “for the public good.” Work that is done pro bono, then, is often thought
to mean labor that is free, but it really defines an effort that is in the interest of the
greater public or deserving of a cause.
In law and medicine, pro bono work is considered an important component of the
profession, and many doctors and lawyers feel compelled to give back to society in
meaningful ways. Countless people are in need of health care or legal representation,
but they simply cannot afford those services. Pro bono efforts help to fill the void. For
some practitioners in these fields, pro bono work is seen as an ethical imperative, and
an essential component of their practice. So it is with architects.
The Benefits of Pro Bono Work
It is a sobering fact that as much as 90 percent of the population does not come in
contact with architects, or may never even be able to afford their services.
Increasingly, architecture firms both large and small are performing pro bono work
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to address this deficiency. While the volunteer work may not contribute to the firm’s
financial bottom line in the short term, inculcating an ethic of pro bono work into
the culture of a practice provides other benefits that can pay dividends in the future.
Compensation should not be viewed as strictly monetary. Substantial rewards are
also garnered by developing the skill sets of younger architects, who frequently do
not have an opportunity to interact directly with clients or present plans in public
forums.
Different people enter the architecture profession for different reasons: the opportunity to combine artistic and technical skills, pursuing the desire to see ideas get built,
or to lead others and make a positive impact on people’s lives. Doing pro bono work
provides a platform for applying these skills in a community context and an opportunity to engage clients in important work that would not otherwise materialize.
Advancing design skills, cultivating leadership traits, and even giving space to altruistic
ambitions can be fostered when working with organizations that lack the resources to
hire firms, or that lack an awareness of the design process itself. In this way, working as
an architect transcends the definition of a sole designer and embraces a broader definition as an architect who leads others.
Cultivating an ethic of pro bono work is contagious and rewarding for any size
firm. Within the culture of a large office, it represents an opportunity to nurture leadership skills among younger professionals and to provide them with opportunities for
growth. In the context of a small practice, it advances the reputation of the firm in the
public’s eye and empowers architects to take initiative in forming new relationships.
Cultivating relationships is one of the most important skills when running a practice,
regardless of scale, and devoting a portion of one’s creative efforts to pro bono work
can lead to unforeseen paid opportunities in the future. At its best, the work can provide a valuable service to the client and a platform to educate the public about what
architects do and the value they bring to society. Pro bono work is also encouraged by
the AIA Code of Ethics.
Pro bono work moves the learning environment away from the office or classroom and into the environment in which one lives. It mirrors the realities of practice and models the type of work one will be engaged with in the future. The sooner
younger architects are exposed to this work and apply their skills, the more prepared they will be for success in the profession. Even for more experienced professionals, pro bono work fosters a stronger connection to the place in which they live.
Undertaking volunteer work with both seasoned professionals and emerging architects together is often the best scenario, as mentoring occurs more naturally
between the groups (from both ends of the spectrum) and in a setting outside the
confines of the firm.
While most pro bono efforts are informal agreements between parties, the AIA
publishes a document (AIA Document B106™–2010, Standard Form of Agreement
Between Owner and Architect for Pro Bono Services) specifically tailored to providing
professional services in which the architect does not anticipate receiving financial compensation. This contract serves a number of purposes, not the least of which is to formalize an agreement between parties in what otherwise can be an informal arrangement.
Signing a contract underscores the value of the services by itemizing the amount of
time committed to the work and demonstrating the commitment of the client to the
endeavor.
Despite the numerous advantages, working in a pro bono capacity can be fraught
with potential pitfalls, and it is important to go into the work with a sense of how to
negotiate the terrain. What type of organization are you working for? What evidence
is there of their community connections? What is the scale of the impact to the community, and what do they really need? Does the organization have effective leadership,
and what funding opportunities for the work are there? Evaluating these components
of a pro bono project can help to filter out projects that may not be an ideal fit and can
also serve as a barometer for potential success.
Ethical Standard 2.2 Public
Interest Services: Members should
render public interest professional
services, including pro bono
services, and encourage their
employees to render such
services. Pro bono services are
those rendered without expecting
compensation, including those
rendered for indigent persons,
after disasters, or in other
emergencies.
—AIA Code of Ethics and
Professional Conduct
4.3 Architects in the Nonprofit Sector
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CAS E S T U DY 1: B RAINT REE E LE CTRIC LIG HT D E PA RTM E N T/ B RO WN F IE LD
R E H A B IL ITAT ION , B RAIN T RE E , M A S S A CHU S E TTS
The town of Braintree, Massachusetts, lies 10 miles south of
Boston. The town needed assistance on negotiating a public
process surrounding the potential redevelopment of an important former industrial property on a waterfront. The town was
poised to acquire the site from the area’s municipal electric
light department. However, redevelopment efforts were
stalled due to an acrimonious relationship with residents of
the adjacent neighborhood, who were concerned about the
impacts of new construction. The property remained vacant
for nearly a generation due to differing opinions about what
new uses should emerge.
The pro bono design team established an effective community planning process by first establishing themselves as an
independent party. While they were initially contacted by the
town, the volunteers were not seen as “hired guns.”
Community aspirations were identified in the initial public
meeting with a second meeting offering precedents for consideration. A final meeting brought together a range of
redevelopment scenarios that built from recommendations by
the community. The alternatives spanned a range of building
scales to initiate dialogue and debate. Residential, arts, and
business incubator plans each included an open space component, generating some economic benefit to the site but also
maintaining an appropriate amount of publicly accessible
open space and access to the river.
After years of acrimonious debate, a consensus vision for
the site has finally emerged that balances the needs for some
economic development on the site with the community’s aspirations for public access. Through an effective participatory
process, there is now an alignment of goals between the
surrounding residents and the town. By limiting the engagement to three well-advertised public meetings, momentum
was created during the three months. The process concluded
by recording the effort in a document that was widely distributed and endorsed. The property is now in the predevelopment phase, and the town has control of the property.
Be Aware of the Challenges
One misconception about pro bono work is that architects who do work in a volunteer
capacity are siphoning work away from firms who would otherwise do the work for a
fee. In reality, most pro bono work actually creates work for others that would otherwise
never have materialized. Perceived roadblocks, a lack of vision, or an unclear idea about
what is actually needed are frequently the reasons that stymie nonprofits or communities from even beginning to look for an architect. This is where pro bono work can be
most effective—in unleashing projects from these constraints and developing a path to
move forward. Identifying goals, establishing an effective process, building consensus,
and forming relationships are all skills that are essential to any client-architect relationship, and these are the geographies where pro bono work is most often entrenched.
As the scale of the project increases, so too can the number of people influenced by
the work. Planning within neighborhood settings usually takes place in the midst of
multiple parties with competing agendas. Often, the most substantive part of pro bono
work is the time it takes to negotiate conflict. It is important to assess the potential level
of conflict at the beginning of the process, and strive to understand where tensions lie.
Failure to do so can lead to time squandered and aggravate participants.
Finally, it is important to be aware of the erroneous perception that volunteer work
is not of the same caliber as work that is paid. Simply because the effort does not
involve financial compensation does not release participants from quality work. With
this in mind, below are five things to consider and five potential pitfalls in pro bono
work as an architect.
Five Do’s
1. Design the process. Spend almost as much time designing the process as designing the
project. A well-considered and intelligent method for engaging clients will build the
confidence of the participants and provide for effective means of communication.
2. Consider the effort as a relationship-building endeavor. Assisting clients with an initial,
short-term pro bono effort can lead to unanticipated possibilities for long-term paid
work in the future. Even if it doesn’t lead to new work, the engagement process will
be good training for the cultivation of architect-client relationships.
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The City of Chelsea, Massachusetts, and the nonprofit Chelsea
Neighborhood Developers (now called The Neighborhood
Developers) partnered together to significantly improve a distressed six-block area. The client sought to develop a plan for
“transformative reconfiguration” of the dense neighborhood by
taking advantage of the soft real estate market to begin implementation. Strategic demolition and housing rehabilitation,
streetscape improvements, traffic calming, and public safety
measures were most needed to help stabilize the neighborhood.
While ambitious designs for new streets and infill development were enticing to consider, what was most needed
was a strong demonstration of community investment and
recognition that the problems in the district were as much
social as physical. The volunteer design team focused their
efforts on near-term actions that could improve selected areas
where traffic calming, safety, security, and redevelopment
could take hold.
The community dialogue therefore involved close coordination of the department of public works, the city planning
department, and the police department. The effort provided
a forum for residents to identify the areas of greatest concern
where limited resources would have the greatest effect (see
Figure 4.7). The engagement began a process of regeneration from a distressed area into a healthy neighborhood by
promoting affordable housing, establishing desirable public
spaces, and fostering resident prosperity and leadership. Initial grants for new security cameras led to substantial local
and state aid for new infrastructure investments and a community pocket-park that is serving as a catalyst for private
development.
Community Design Resource Center, Boston
FIGURE 4.7 Evidence of Impact and Community Engagement Process
4.3 Architects in the Nonprofit Sector
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CAS E S T U DY 2: C HELSEA NE IGHB O RHO O D A CTIO N P LA N , CHE LS E A ,
MASS AC H USET T S
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3. Work hard for the client and demand excellence. Simply because the project is not financially profitable in the way that a paid project is, that is no reason not to demand
and expect excellence from both sides.
4. Look for opportunities to enlist others in the endeavor. While engaging more people
requires more time devoted to management, having other designers involved
will lighten the production load and enable synergies to emerge in the design
process.
5. Advocate and educate. It is important to listen well, but also assert your position as
someone who is trained to problem-solve, think creatively, and help to educate
others about the benefits of good design.
Five Don’ts
1. Don’t overpromise. Be realistic about what can be accomplished within the time
constraints available, the number of participants, and the perceived commitment of the partners. As with any project, managing expectations is critical to
success.
2. Don’t rely on jargon. Like many professions, architects use their own language to
convey meaning. This language can confound the general public and frequently
distances the audience from understanding what is being said.
3. Don’t begin the work without a good understanding for what the client needs. Strive to
identify the key issues and the likely level of conflict before the engagement
begins.
4. Don’t grandstand. In a community-based setting, cultivate a dialogue with those in
attendance and allow participants to share in the joy of creating. It builds capacity
and ownership of the work.
5. Don’t allow the project to go on indefinitely. Carve out time to work on the effort
and stick to deadlines. Pro bono efforts need to adhere to deadlines as much
as—or even more than—traditional projects. Resist the urge to be seduced by
the indeterminate nature of the design process. Be decisive and keep to a time
schedule.
C ONC LU S I O N
There is an increasing desire by the emerging generation of design professionals and
architects of all experience levels to be more actively involved in the shaping of their
environment. Advances in technology have accelerated the possibilities for engagement
and opened up new means for communication. Pro bono work provides a valuable
platform to effectuate change. It helps emerging architects to develop client relationships and assists in honing design and planning skills. More important, however, as
tomorrow’s leaders seek to address the most pressing design challenges of the future,
pro bono work not only results in a better architect but also a more enlightened and
socially responsible individual.
Fo r Mor e In for m a t i on
Public Architecture (The 1% Program): www.theonepercent.org/.
Public Interest Design Institute: www.publicinterestdesign.com.
Good Deeds, Good Design: Community Service Through Architecture (Princeton Architectural Press, 2003) by Bryan Bell.
Design Like You Give a Damn: Architectural Responses to Humanitarian Crises (Metropolis,
2006) by Architecture for Humanity.
Design for the Other 90% (Editions Assouline, 2007) by Cynthia E. Smith.
Expanding Architecture: Design as Activism (Metropolis, 2008) by Bryan Bell and Katie
Wakeford, eds.
The Power of Pro Bono (Metropolis, 2010) by John Cary, ed.
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COMM U NIT Y DESIGN CEN TE RS IN
CONT EXT
D an Pi t er a , FAIA, ACD
Community design centers relate closely to the context in
which they practice. They are generally organized along two
continuums based on engagement with the university and
professional context and on research and project endeavors.
Dan Pitera is Executive Director of the Detroit Collaborative
Design Center, University of Detroit Mercy School of
Architecture.
A primary proposition for a Community Design Center
(CDC) is to be specific and relevant to the context it engages.
Each center determines where it will expand the practice with
respect to people, programs, and geographies to make welldesigned and thoughtful places. Since it is a requisite for
CDCs to be specific and relevant to the contexts they engage,
there is no single typical way they are organized. For a
CDC, “typical” is a myth.
Community design centers are generally organized
along two correlated continuums:
1. University-based centers and professional-based centers
2. Research-based centers and project-based centers
U NI VERSI T Y- B A SE D A N D PR OF E S S ION AL-B AS ED
C E NT E RS
Etymologically speaking, when someone operates in a professional context they are making a “public declaration.” The
history of the word professor means that one has something to
“profess…lay claim to, declare openly.” This pairing is meant
to illustrate that the line between the academic and the professional is less than clear. Similarly, the distinction between professional and academic design centers is more complex than
whether or not they are located within an academic institution.
In many CDCs, lines between academic or professional labels
are not distinct and are continuously shifting.
As an example, the Detroit Collaborative Design Center
(DCDC) is an academic program within the University of
Detroit Mercy School of Architecture. Though the DCDC is in
an academic context, its organizational structure is essentially modeled after a year-round professional design office.
It is not based on a semester system. It does not take summers
off. It has a full-time professional staff of about 8 to 10 people
with 1 to 2 students as full-time employees.
RE S E ARC H - B A S E D A N D PR OJ E C T- B AS ED C ENTER S
When people conduct research, they “search closely”—they
search and re-search again and again. Most CDCs participate in client-based design projects such as buildings, master
plans, and/or landscape designs. Some conduct research on
people, programs, and/or geographies. Some do both. This
should not suggest that there is no research in design projects. Instead this distinction is directed toward the underlying
focus of the work—actual projects designed and built within
communities, or study (research) on those communities. One
cannot happen without the other. They are distinct but interrelated. University-based centers often are hybrids resulting
in unique research-based practices.
For example, since 2001, as part of its mission the
DCDC, alongside community residents and artists, has coordinated and performed mercenary artistic/architectural
installations within several burned houses throughout the city
of Detroit. This project is titled “FireBreak: Architecture and
Community Agitation.”
FireBreak engenders the position that everyone—the
next-door neighbor, the person down the street—can
shape her or his physical world. The DCDC’s research
through these catalytic interventions and interferences has
thrown the urban context, and one’s power over it, into
the public discourse through both event and word. Being
in an academic environment gives the DCDC an advantage in that there is access to and emphasis on creative
methods of research and project delivery, which are
potentially more limited in a traditionally professional context. FireBreak is both intensely research- and projectbased. It asserts that design is also a research activity,
whether inside or outside of the academic environment.
Being research-based is not about where the center is
located but about how the center engages the process of
investigation.
UNIV ER S ITY-B AS ED C OMMUNITY DE S I G N
C ENTER S
Teaching Hospitals for Architects
The DCDC has modeled itself after a teaching hospital—
an operational “project-based” entity, which uses its “projects” for research and teaching. It is a place for learning
by doing. Though they may have not explicitly articulated
this position, many university-based design centers also
can be seen as following the teaching hospital model.
They are unique hybrids of professional work, applied
research, and educational development. These design centers use diagnostic and analytical research accomplished
through actual client-based projects. Design students work
alongside design professionals, similar to how medical
students work alongside doctors in a teaching hospital.
Such CDCs are often independent departments within their
schools. The professional staff members are full-time
employees of the center, who may also teach part-time in
the curriculum.
(continued)
4.3 Architects in the Nonprofit Sector
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BACKGROUNDER
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The analogy of a teaching hospital can also bring perceived negative outcomes if projects and clients are seen as
test subjects—or if the university is viewed as fulfilling a
community service requirement. It is important for a center
to define a methodology of community engagement in
which mutual knowledge sharing is the core. This is distinct
from community service that can imply a hierarchal working
relationship with the design center at the top. When community stakeholders hear the word service, they may hear
an underlying subtext that suggests they are incapable of
defining and maintaining the direction of their neighborhood. Removing the notion of service from the process helps
establish a meaningful engagement and partnership
between the university and the community and mitigates the
potential feeling within the community that they are the subjects of a scientific experiment. Neighborhood residents
often use the phrase “lab rats,” with hostility, when referring
to the methods and means many universities use when working in their city.
Structural Relationship to the Academic Institution
The format and the relationship of the center to the university
structure can vary. There are three general formats:
Some centers start in the studio environment and are limited to the time restrictions of a semester. They may use this
structure to gauge the need for a more full-time and professionally staffed center. Some have found the studio format to
be a unique and meaningful structure given their projects. For
example, Lawrence Technological University’s Detroit Studio
is located off-campus and in the New Center neighborhood
of Detroit. Every semester a studio of students tackles a new
project or continues the prior studio’s work.
There is the full-time center staffed with professionals and
students, such as the Detroit Community Design Center.
Another example is the Tulane City Center (TCC) at Tulane
University. Born in the aftermath of Hurricane Katrina, the
Tulane City Center is focused on New Orleans and is undergoing a transformation in its working model to adapt to the
current community context.
A third model for CDCs develops around unique partnerships between a professional office and a university department. The bcWorkshop is a Dallas-based, independent,
professionally based center that has engaged many of its
projects through collaboration with the University of Texas at
Arlington. It was not financially but instead pedagogically
supported by the University.
C ONC LUS ION
Community design centers seek methods and procedures to
expand the nature of practice to include more people, more
projects, and more geographies in the process. They are
advocates for people who are typically left out of design
and place-making decisions. While many community
design centers are connected to academic institutions, they
vary as to their structural relationships and their engagement with research. Regardless, community design centers
attempt to alter conventional ways of seeing and working.
Rather than being alternative practices, they have the
potential to fundamentally change the way design
professionals work.
For More Information
Definitions of terms used in this article: http://www.etymonline
.com/index.
BACKGROUNDER
AR CHIT EC T S IN LARGE N O N P RO F ITS
S usan A. C h in , FAIA
Many architects specialize in working with nonprofit clients,
but only a small number of architects work on staff for nonprofit organizations. Working directly for a nonprofit, as an
architect, can provide multiple perspectives that are unique
to that environment.
Susan Chin is the vice president of planning & design and
chief architect for the Wildlife Conservation Society.
Chin is a licensed New York State architect and heads
the renowned Exhibitions and Graphic Arts Department
(EGAD), notable for its many innovations in the field of
zoo design.
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Public Interest Design
AB OUT TH E OR GANIZATION
The Wildlife Conservation Society (WCS) is committed to
protecting wildlife and wild places around the world. This is
accomplished through over 300 conservation projects in
more than 50 countries and by inspiring the next generation
of environmental stewards at four zoos and one aquarium in
New York City.
WCS is a 501(c)(3) nonprofit that operates the Bronx
Zoo, New York Aquarium, Central Park Zoo, Queens Zoo,
and Prospect Park Zoo, which are all on New York City Parks
land. Approximately 15 percent of its operating budget is
funded by New York City. The balance is provided through
private funding and earned revenue. The capital program is
funded through a combination of public and private funds.
D I F F E RE NC E S F R OM T R A D I T I ON AL AR C H ITEC TUR E
F I RM PRA C T I C E
A leader of a design group within a large nonprofit organization that is continually involved in capital improvement initiatives involves playing multiple roles. Many of these are
similar to a senior principal in a traditional architecture firm,
and there are also similarities to architects who work in the
public sector. However, there are distinct differences, summarized below:
• As the representative of a nonprofit owner, it is critical to
have a comprehensive organizational perspective that
integrates the needs of the mission and brand-driven
design.
• The majority of WCS capital projects are funded in part
by New York City and occur on New York City–owned
land. Similar to other nonprofits that receive public funding, there is continual engagement with public sector
agencies on multiple levels.
• There are likely to be many diverse stakeholders that must
collaborate in the design and construction process, including, in the case of WCS, animal departments, education,
operations, finance, construction, global conservation
programs, and senior administration.
• Senior leadership represents the organization to the public and interacts with the Board of Trustees, donors, and
other external constituents, including government and
funding agencies.
In addition, for an organization such as WCS, the
annual capital program is developed across the organization
with input from multiple stakeholders. Projects are measured
against need, guest experience, mission, and business plans.
Once approved, the capital plan is continuously managed
and rebalanced as necessary throughout the year.
Many professionals are attracted to the mission of nonprofit work and the potential for gaining diverse and valuable experience, particularly as they start out their careers.
However, the realities of compensation in a nonprofit can
affect staff retention. In addition, developing specialized
design and construction knowledge requires constant investment in training.
Nonprofit architects are usually working in an environment that exposes them to other fields and professional
areas. However, it is sometimes insulated from the normal
architectural environment. Keeping a connection to the profession is vital to stay current on technical information, materials, and design. When outside of traditional practice, a
concerted effort is required to attend events, read about the
industry, and keep a strong network of contacts in multiple
professional arenas. For instance, at WCS, architects will
maintain contacts with those in similar roles in zoos and
aquariums around the world, those in similar cultural organizations in New York City, and fellow architects at the local
AIA chapter.
B ENEF ITS
There are many benefits to working in a nonprofit environment. The obvious one is being paid to work for a cause with
personal meaning. Although salaries are not at the high end
of the spectrum for the field, there are many aspects to nonmonetary compensation.
For many, working in the nonprofit sector can accelerate
learning in some areas and provide the ability to gain diverse
experience. There are opportunities to be involved in all
phases of design, client management, budgeting, estimating,
and consultant management. In addition, there is the opportunity to collaborate with architects, designers, and construction managers—constantly being exposed to and learning
from a diverse number of professionals in the field.
Nonprofit employees generally share the mission goals
and inherently similar interests, resulting in a motivated, committed, and passionate staff. There is the ability to interact
with professionals from fields that may not be directly connected to architecture or design. At WCS, there are opportunities to work with a diverse group of people—curators,
scientists, fundraisers, educators—and, of course, other species. Collaborating on a marketing plan, financial plan, and
fund-raising strategy as well as design of a project creates a
unique leadership perspective that can inform design process
and mission advancement.
Nonprofits are a fertile environment for emerging professionals. Many staff members gain valuable experience that
enables them to go on to work at for-profit design firms, other
museums and cultural institutions, and even to become zoo,
aquarium, or museum directors.
One of the greatest benefits of work in the nonprofit sector
is a personal connection to the mission of the organization.
While most architects forge a long-term connection to their
projects, in a nonprofit context one can appreciate the aggregated accomplishment toward a mission goal as projects are
completed. There are many important rewards for success—
salary, recognition, happy clients—but it is difficult to quantify
the personal satisfaction and sense of fulfillment that comes
with the understanding that your work contributes to your community or has a direct impact on a cause that you care about.
4.3 Architects in the Nonprofit Sector
155
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The Exhibitions and Graphic Arts Department (EGAD) is
the in-house design group of the WCS. EGAD designs innovative exhibit experiences that inspire guests to care about
wildlife and wild places and connect them to conservation
through innovative programs and animal experiences. The
EGAD team combines the disciplines of architecture, landscape design, exhibit design, graphic design, and interpretive programming to produce effective results in guest
experience and informal science learning. As the director of
EGAD, my role involves providing design leadership and
coordination of an integrated process of design and construction in collaboration with all stakeholders.
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4.4
Public Ser vice and Community
Involvement
Jess Zimbabwe, AIA, AICP, LEED AP
This article offers an overview of ways that architects have committed themselves
to the public interest. From casual volunteering to full-time community design
advocacy, from providing technical expertise on a planning commission to
running for elected office, thousands of architects across the United States have
used their professional capabilities to improve their communities.
TH E ARC H I TE C T’ S R O LE I N C O MMU N I TY AT LA R GE
We engage the problems and
issues that people care about. We
believe in the transformative power
of design.
—from the mission statement of the
Architecture + Civic Engagement
Center of the School of Architecture
at Woodbury University
▶ For related discussions of the
community design movement, see
Community Design Centers in
Context (4.3) as well as the
backgrounder accompanying this
article, Independent Community
Design Centers.
In 1968, when Whitney Young Jr. spoke before the annual convention of the American
Institute of Architects in Portland, Oregon, he excoriated the profession for doing too
little to engage with the crises that American cities were facing at that time: “As a profession, you are not a profession that has distinguished itself by your social and civic
contributions to the cause of civil rights, and I am sure this has not come to you as any
shock. You are most distinguished by your thunderous silence and your complete
irrelevance.”
In the years since, architects and their professional organizations have come a long
way, creating dozens of community design centers that serve needs of nonprofit organizations and underserved communities across the country, but the fact remains that,
within the larger profession of architecture, public interest design is still a somewhat
marginalized mode of service delivery. In 1996, the seminal Carnegie Foundation
report on the state of architectural education concluded that “schools of architecture
could do more…to instill in students a commitment to lives of engagement and
service.”
Since the end of the last century, there has been a debate about whether a new,
broad consciousness of public interests is emerging in architecture and the related
design professions. The community design movement has been active in the United
States since at least the late 1960s. In contrast to a Hollywood trope of portraying
architects as heroes of abstract design ideas, the community design movement focused
on delivering a useful service to under-invested communities.
Based on several lessons from successes and failures of the community design
movement, several new models of a broader field called public interest design have
emerged in recent years. Projects and programs that are explicitly devoted to serving
the public have emerged from the underfunded shadows to be promoted in mainstream
design media with funding through grants and corporate and individual gifts. Sharon
Haar, an architecture professor at the University of Illinois at Chicago who is writing
a book about this subject, estimates that about 250 nonprofit architecture firms, advocacy organizations, and design centers have been launched since the early 1960s. While
many of the organizations founded in the 1960s and 1970s no longer exist, there are
currently about 100 in operation—many launched within the last decade—demonstrating a renewed interest in this work. These architects are directly addressing architecture’s relevance in the face of local and global shifts in the world climate, economy, and
building industries and seek to define a new utility for the architectural skill set and
sensibility.
Jess Zimbabwe is executive director of the Daniel Rose Center for Public Leadership at the
Urban Land Institute. She is an architect and planner with substantial community design and
nonprofit experience focused on the public impacts of design, planning, and development.
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Public Interest Design
• Uses her/his insights, talents, training, and experience
to contribute meaningfully, beyond self, to the
improvement of the community and human condition
• Stays informed on local, state, and federal issues, and
makes time for service to the community
• Advocates for higher living standards, the creation of a
sustainable environment, quality of life, and the greater
good
• Seeks to advocate for the broader purposes of
architecture through civic activism, writing and
publishing, by gaining appointment to boards and
commissions, and through elective office at all levels of
government
—From the “Citizen Architect Resolution” adopted by the AIA
Board of Directors on December 5, 2008
CIVIC L AB , A PROJEC T OF AIA B A LTIM O RE
To encourage its members to take on leadership roles in their
community, the AIA Baltimore component developed a program called CivicLAB (Leadership. Architecture. Baltimore).
CivicLAB participants are emerging professionals (Associate
AIA members or those who have been licensed less than
10 years) with an active history of involvement with one or
more community organizations. During interactive monthly
evening sessions over dinner, participants learn from architects who have held a wide variety of leadership positions.
The course is broken into four distinct units:
•
•
•
•
The founders and leaders of CivicLAB recognize the
importance of developing younger professionals in the field
to leverage their architectural skills, training, and expertise in
the broader community. Klaus Philipsen, FAIA, who coordinates the Sustainability, Smart Growth, and Preservation unit
of the course, states, “We can only remain successful if we
foster and support new talent.”
Citizen Lobbying
Economic Benefit
The Art and Practice of Urban Design
Sustainability, Smart Growth, and Preservation
C I V I C AN D C OMMU N ITY EN G AGE ME N T: D E S I GN
Citizen Engagement
Architects regularly present their ideas in front of community stakeholder groups.
Since the Model Cities program of the Lyndon Johnson administration first dictated
that urban redevelopment projects should include the “maximum feasible participation,” residents of wealthy and poor neighborhoods alike have been given a role in
determining the future of their environment. Civically inclined architects realize that
their role in the stakeholder engagement process does not begin with a single community meeting or end with simply listening to public demands. Through more extensive models of engagement such as community charrettes or serial public meetings,
architects engage citizens in longer-term and more meaningful ways. Increasingly,
architects are looking to develop their skill sets at charrette and meeting facilitation
and other, deeper methods of stakeholder engagement.
Though citizens can have a voice in a public hearing, their input is usually quite
passive and their opinion often lacks real power. Through more interactive workshops
and charrettes, architects and their sponsors can provide a more satisfying and effective
experience for stakeholders. In such a setting, participants express their concerns, but
they also get involved in exercises where the purpose is to reconcile a variety of competing interests, so they come to appreciate the importance of consensus and the need
for compromise. At their best, such workshops can defuse controversy and help build
a constituency for projects.
Design is not the icing on the cake
but what makes architecture out of
buildings and the places we want
to live and eat and shop rather
than avoid.
—Alexandra Lange, Writing About
Architecture
▶ Architects in the Nonprofit
Sector (4.3) further discusses
opportunities for civic
engagement.
4.4 Public Service and Community Involvement
157
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TH E AIA’S DEFIN IT ION OF A CIVIC A RCHITE CT
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CAS E S T U DY: R/UDAT ( 200 9 ) D O WN TO WN A N D CO M M U N ITY RE VITA L I Z ATI O N ,
NE WPORT, VERM ONT
In March 2009, an AIA R/UDAT team visited the community
of Newport, Vermont. The community invited the R/UDAT
team to explore key opportunities and issues facing the city.
It was the 143rd R/UDAT in the nation, but the first in the
state of Vermont. In typical R/UDAT form, the team of seven
architects, planners, and designers toured the city and spoke
with community residents, business owners, and other stakeholders. James Logan Abell, FAIA, an architect from Tempe,
Arizona, led the group. Following their community engagement, site tours, and two and a half days of deliberation, the
R/UDAT team made a final presentation to a 200-person
audience in the community and issued a formal report with
their key findings.
In March 2011, the City of Newport contacted AIA to
indicate their interest in a follow-up visit to evaluate progress
to date on key priorities identified by the team in 2009. The
R/UDAT Team found that Newport has made remarkable
progress in its first two years of implementation. They
observed that much of the earlier public conversation was
colored by nostalgia. R/UDAT participants lamented the
state of the city, and focused on the issues and constraints
facing the community. As the team wrote then, “Civic pride
is an issue for Newport city residents. While citizens’ sense
of attachment to the community is strong, there is a prevailing narrative of decline among many residents…the team
heard a repeated chorus which described the city’s glory
days in the past tense, and expressed nostalgia for days
when the city was more vibrant and dynamic.” The R/UDAT
team found in 2011 that Newport was a “community on a
mission.” The deep engagement of the first R/UDAT
endeavor completely reshaped thinking about the community in Newport.
Sometimes architects conduct this kind of community engagement even outside
of the context of their own projects. One such example of this is the AIA’s Regional
Design and Urban Assistance Teams (R/UDAT). Since 1967, the AIA has run the R/
UDAT (pronounced ROO–dat) program, a results-driven community design program based on the principles of interdisciplinary solutions, objectivity, and public
participation. The program combines local resources with the expertise of a multidisciplinary team of nationally recognized professionals who volunteer their time to
identify ways to encourage desirable change in a community. The team visits the
community for four intense, productive days, and team members return within the
year to advise on implementation strategies. The process is fast-paced, exciting, and
energizing. This approach addresses social, economic, political, and physical issues.
Stakeholders must come together and agree on a set of goals for the project in order
to complete the application, so the program offers communities a tool that fosters
new levels of cooperation. The R/UDAT program has used this grassroots approach
across the nation to help create communities that are healthy, safe, and livable, as well
as more sustainable.
The R/UDAT program is a good example of a perhaps unexpected lesson from
several national design assistance programs: Programs like R/UDAT that bring volunteer architects and other experts from outside the community allow those professionals
to give their expert advice with more candor than they sometimes can in their own
communities. Since they aren’t personally vested in the project or community, their
creative participation is freed from typical political or economic constraints commonly
found with fee-for-service projects.
Design Review Commissions and Boards
Design review boards or commissions are independent commissions charged with
upholding design guidelines and reviewing the design components of development
proposals. Communities generally establish volunteer boards consisting of residents
who comprise a mix of design professionals (architects, landscape architects, engineers,
or historians) and committed laypeople. In addition to their project experience, architects are especially useful to communities because of their analytical capabilities, technical experience, and aesthetic sensibilities.
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Depending on the process established by the community, design review boards
may conduct advisory or legal reviews of development applications. Many communities have advisory design review boards that meet with developers early in the site
design process, prior to submission of a formal application. In this capacity, design
review boards can react to concept plans and offer suggestions and recommendations that ultimately influence the final site plan submitted with a development
application.
Public Design Education
AIA components and other design-related entities around the country have recently
dramatically expanded their efforts in design education for the public at large. Pioneered by the Chicago Architectural Foundation with its long tradition of docentled architectural tours of the city, several organizations have opened new exhibition
and programming centers dedicated to delivering design programming beyond just
the profession. With inviting storefront spaces, the BSA Space (Boston Society of
Architects), Urban Center (San Francisco Planning and Urban Research Association), the Center for Architecture (AIA New York), and several others like them
work to reach out to the general public and educate them about the value of design
through exhibitions, lectures, tours, K–12 educational workshops, and festivals or
special events.
Some programs are directly focused on building a better and broader clientele
for architects. For example, several AIA chapters offer workshops on how to choose
and work with an architect that are geared toward small projects or homeowners
who might otherwise choose contractor-led design. But most of the programs
developed for the public at large also emphasize principles of design like environmental sustainability, the health impacts of good design, and aesthetic sensibilities.
The best architectural design competitions are also used to inform and engage
interested citizens and raise awareness of the relationship between design and vital
communities.
The Mayors’ Institute on City Design is another long-standing program that serves
to educate leaders outside the design profession. The program is currently operated as
a partnership between the National Endowment for the Arts and the American Architectural Foundation. Since 1986, it has helped mayors better understand their role as
chief urban designers of their cities. Each year, dozens of design professionals volunteer
their time to serve on resource teams to work with mayors in small group settings to
tackle major urban design projects in the mayors’ home communities.
C I V I C AN D C OMMUN ITY EN G AGE ME N T: LA N D U S E P O LI C Y,
ZONI N G , AN D BUILDIN G C OD E S
Planning and Zoning Commissions
Many architects serve their communities as members of local planning commissions.
In this role, they assist the city or town with the review of planning and development
projects, to facilitate conformance with zoning requirements and the master plan.
These commissions also regularly review and update master plans, zoning ordinances,
and specific or neighborhood plans. Having one or more members with an architectural background helps the commission understand how the project will affect the
community’s form, how users and passersby will interact with the development, and
how the structure will affect the broader built and natural environments. An architect
who can understand and visually communicate the three-dimensional aspects of the
proposed design can improve land use planning efforts. Architects who serve in roles
like Planning Commissioner usually develop their abilities to work with politicians,
developers, and community groups more effectively; they understand the forces that
shape the city.
4.4 Public Service and Community Involvement
159
Too often, designers bemoan the
lack of voice we have in what we
can or cannot do in a particular
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municipality. Rather than despair,
we must ensure our place within the
process. That’s been my approach,
and I like to think that I’m making a
difference.
—Antoine Bryant, NOMA, Assoc.
AIA
▶ See Planning, Urban Design,
and the Regulatory Environment
(13.2) for related information.
Architects on these boards and commissions often find their support sought by
both opponents and proponents of development projects. Community advocates who
oppose or push for changes to proposed products see architects as valuable trained
professionals who aren’t simply representing downtown business interests and are
instead basing their decisions on technical information and professional judgment that
includes consideration of historic resources, neighborhood context, and environmental
impacts. At the same time, since architects earn their living in the construction industry,
they have an understanding of what it takes to finance and build complex projects, so
developers often value their insights in a board or commission’s discussion. The elected
officials who are usually charged with nominating and confirming members of these
boards and commissions often seek out architects to play this dual role. Houston Mayor
Annise Parker appointed Antoine Bryant, NOMA, Assoc. AIA, to the Planning Commission in 2011. In addition to recognizing the opportunity to turn his architectural
training into implemented design and policy, Bryant sees his role on the Commission
as an opportunity to educate his professional colleagues about improving the public
realm.
Building Code Development and Review
Building codes and generally accepted practices largely define the acceptable standards
of practice and technique for the design, construction, and performance of buildings as
a whole. Model building codes and voluntary standards are often developed by groups
or committees representing manufacturers, government agencies, contractors, and
other building community sectors. Upon adoption by governmental authorities having
jurisdiction, these model codes and voluntary standards become laws and regulations.
The architecture profession possesses special knowledge that should be applied to the
formulation of building codes and standards.
Fundamentally, building codes are an expression of acceptable means and technology to meet prescribed needs at a point in time. Over time, alternative means and
advanced technologies must be considered or the building code can needlessly constrain technological advances and stifle other, more suitable alternatives and practices.
By incorporating architects’ knowledge and experience in the code development process, code interpretation and enforcement practices of a jurisdiction can be significantly
improved. It is through open code development processes that new technologies are
fairly evaluated, recognized, and more rapidly implemented. Equally important, by
involvement in the model building code development process and the code adoption
process, architects have the ability to see that building codes do not impose inappropriate responsibilities on architects.
C IVIC AN D C O MMU N I TY E N GA GE ME N T: E C O N O MI C
DEV E LOP ME N T
The lesson is to listen and engage.
In an economy built to last, everybody needs to get a shot and do
their fair share.
—Shaun Donovan, U.S. Secretary of
Housing and Urban Development,
address to the AIA Convention in
Washington, D.C., May 18, 2012
160
Jim Determan, AIA, testified before Congress in 2010 and told lawmakers how the
credit crunch in late 2008 contributed to the demise of his previous firm, CSD
Architects. As lenders broadly refused credit to the design and construction industry,
many CSD projects came to a halt. In Determan’s case, he and his partners were left
with no choice but to close their 60-year-old Baltimore firm that had successfully
weathered previous recessions. As a result, more than 100 people—many of whom
had been with the firm for more than 30 years—lost their jobs. This experience led
Determan to a heightened awareness of the role that architects play in a community,
regional, or national economy: “The pendulum has swung so far in the direction of
restricted credit that even worthy, well-secured projects by clients with impeccable
credentials and proven track records are being denied access to financing,” he
testified. Determan works with other architects to help them present the business
case for design to elected leaders and decision makers: “If they understand
Public Interest Design
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that good design is good business, elected officials, media, and corporate leaders
become allies,” he says.
When the newly elected mayor of Kansas City called for nominations for new
members of several city boards and commissions, the local AIA chapter actively
solicited and promoted applications from its members. Ashley Wood of Architecture, Engineering, Consulting, Operations, and Maintenance Technology Corporation (AECOM) sought and received an appointment to the Planned Industrial
Expansion Authority (PIEA) under the Economic Development Corporation,
where she and her colleagues work to foster commercial and industrial development
in specifically designated redevelopment areas. Wood explains that her architectural
background helps her to consider aspects of the built environment that are often
overlooked (or perhaps not fully understood) by others on the commission. Her
technical expertise is specifically useful when the Commission reviews blight studies, the first step in designating an area for redevelopment under the PIEA’s purview.
Wood’s architectural training allows her to question the proposals that developers
are putting forward. “It’s important to not act simply as a rubber stamp for the
professionals who are introducing these development proposals, and my background affords me the opportunity to really understand the information being presented,” she says.
C I V I C AN D C OMMUN ITY EN G AGE ME N T: BR O A D
SUSTA IN ABI LITY
The most apparent success of the movement for a sustainable built environment has
been led since 2000 by the U.S. Green Building Council (USGBC) and its highly visible Leadership in Energy and Environmental Design (LEED) rating systems. Hundreds of architects were among those involved in the technical development and review
of these systems, and many more architects have used the systems or received training
in the LEED system. Beyond the purview of most LEED tools, though, lies an emerging field of practice in broader sustainable urbanism beyond the individual building
scale. (The USGBC’s LEED for Neighborhood Development system addresses this
scale.) Because this realm extends beyond the building, it may not seem like the obvious
domain of the architect, but thousands of them are in hundreds of communities around
the country. With urgency created by fear of the rising price and diminishing availability of fossil fuels, the consequences of carbon emissions, and the future availability
of water resources, communities are rapidly ramping up their efforts toward sustainable
development.
Ophelia Wilkins was at the center of this effort in Durango, Colorado, during her
years as an Enterprise Rose Architectural Fellow. She served on the Steering Committee for the La Plata Climate and Energy Action Plan (CEAP), a report that proposes
strategies for reducing greenhouse gas (GHG) emissions throughout La Plata County.
The report was indirectly commissioned by three local government entities, and the
Steering Committee was tasked first and foremost with the creation of a countywide
GHG reduction plan. Between 2009 and 2011, local professional volunteers committed
over 10,000 volunteer hours to the Plan, bringing their specialized expertise in energy
efficiency. Wilkins co-chaired the working group on Residential, Commercial, and
Industrial Buildings while practicing as an architectural designer specializing in affordable energy-efficient construction. She was able to draw on her knowledge of energy
efficiency standards and building techniques as well as her extensive professional network of local green building experts to propose substantive emissions reducing strategies. Though the Plan has subsequently encountered political obstacles, the widespread
community outreach effort has created a high level of citizen discourse and demand for
more efficient practices.
The AIA’s Sustainable Design Assistance Team (SDAT) program is an excellent
example of architects putting their unique skills into practice to assist communities
It was a rewarding opportunity to
think big and practical, while getting out into the community and collaborating to craft a shared
philosophy.
—Ophelia Wilkins
▶ The backgrounder Resilient
Design (4.2) covers ways in
which buildings and communities
can maintain safe, livable
conditions in the aftermath of a
disaster.
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with the principles of sustainability. SDATs bring teams of volunteer professionals
(such as architects, urban designers, landscape architects, planners, hydrologists, economists, attorneys, and others) to work with community decision makers and stakeholders to help them develop a vision and framework for a sustainable future. The SDAT
program is based on the AIA’s goal of helping communities create a sustainable relationship between humans, the natural environment, and place.
In May 2007, the AIA joined the American Society of Heating, Refrigerating and
Air-Conditioning Engineers (ASHRAE), Architecture 2030, the Illuminating
Engineering Society of North America (IESNA), and the U.S. Green Building Council (USGBC), supported by representatives of the U.S. Department of Energy, to agree
to establish a common starting point (benchmark) and a goal of net zero energy buildings. Edward Mazria, AIA, founded Architecture 2030 and issued the 2030 Challenge,
asking the global architecture and building community to commit to significant reductions in reducing fossil fuel consumption and greenhouse gas emissions. Many
individual architects and AIA components have engaged with the 2030 Challenge since
then.
LEADE RS H I P, P O LI C Y, A N D P O LI TI C A L O FFI C E
Elected Office
As discussed in the previous section, architects regularly build consensus to resolve
environmental, traffic, and design issues with boards, clients, community groups, and
city and state agencies. They are intimately familiar with building codes, land use ordinances, the management of complex construction projects, and principles of growth
management, urban planning, historic preservation, and environmental impacts. Sometimes, architects consider the very public role of problem solver that can come with the
profession, and ask themselves whether they should run for office—giving them a
chance to do these same activities in a proactive way, rather than reacting to a client’s
program. The architects who have made the decision to run for office in their city,
town, state, or even U.S. Congress or the Senate have realized that they have already
been providing much of the leadership in shaping physical communities. With billions
of dollars of investment in new public works projects, there is much at stake even in
local elected offices.
Public Ser vice Employment
Many architects devote years of their career to public service through employment at
government agencies with a specialty in the planning, design, construction, and management of public facilities. These architects, who often have professional titles like
“capital projects director” or “facilities manager,” advocate for quality design and sustainable built outcomes in the projects that they manage. They work across large,
complex public agencies to build consensus, balance competing demands, and provide
strategic guidance and support to public officials on matters relating to planning, urban
design, and architecture. They may also develop best practices to create better and
more sustainable urban environments and buildings.
Architects who work in government formed an AIA committee for service in the
1950s, even though at that time only a few dozen state architects were serving in public roles throughout the country. In the 1980s the committee was reorganized into a
Knowledge Community and renamed “Public Architects” to broaden its membership
appeal to include architects working for federal agencies, states, cities, the military,
school districts, and public universities, utilities, and transportation agencies. The committee meets regularly to discuss ways to foster design excellence with government
clients, as well as how to effectively manage public dollars that pay for design and
construction projects.
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CAS E S T U DY: PRISON ALT E RN ATIVE S IN ITIATIVE
I believe that too many people are being incarcerated and that our society must immediately develop
and implement alternatives to incarceration. I believe
in creating a society with real security and social
justice for all, and I will not contribute my design to
the perpetuation of wrongful institutions that abuse
others. In recognition of the deep injustice of the
present prison system, I pledge not to do any work
that furthers the construction of prisons or jails.
Raphael Sperry, Director of the Campaign, is commonly
asked whether the boycott will actually work (i.e., “Won’t
there always be architects who are not opposed to prisons,
or who are willing to set aside their ethical objections at the
right price?”). He responds:
PA R T 1 : T H E P R O F E S S I O N
Originally launched in 2004 as the Prison Design Boycott,
the Prison Alternatives Initiative is a project of the nonprofit
Architects, Designers and Planners for Social Responsibility.
The Initiative calls on architects, other design professionals,
and the public to support community-based alternatives to
incarceration. Since launching in 2004, the campaign has
secured over 1,000 endorsers to its pledge:
Probably not all architects will agree to boycott
designing prisons. But that does not make our protest
useless. Boycotts and other forms of protest work in
many ways simultaneously—it did not take anywhere
near full participation for the boycott of investment in
South Africa to add substantial pressure to end
apartheid, nor did Cesar Chavez’s boycott of California grapes need full participation to make the
treatment of farmworkers a national issue. Even
absent the ability to directly impede prison projects,
the pledges of design professionals to refuse to work
on prisons will help to raise awareness of the problems inherent in the prison system. This boycott is a
powerful tool with which to change public perceptions of the prison system, and thereby change the
willingness of government decision makers to build
new prisons.
C ONCL USI ON
As professionals, architects are trained to coordinate many disciplines and solve problems holistically and in context. But even for a profession that prides itself on being
generalist, truly integrated problem-solving through design thinking often requires
architects to move out of their comfort zone and into arenas that are sometimes dismissed as adjacent or outside the traditional field of training for architects: community
engagement, lobbying and advocacy, and policy design and implementation.
As the case studies in this article demonstrate, these skills are not only essential for
progress in our society but are also increasingly necessary for advancement in our
industry. Architects who volunteer their personal time, serve professionally in a pro
bono manner, or commit to full-time public service roles also have a unique perspective
on the profession itself. Many architects who have served on their communities’ planning commissions, for example, lament the uninspired and unhelpful presentations on
proposed developments that their peers in the design professions deliver to public
audiences. Professional practice without an eye toward public needs diminishes the
credibility and accessibility of the profession.
The vast number of public and private construction projects being planned will
profoundly affect the fabric of our communities for generations to come. There is no
better time for the civic engagement of architects and design professionals. Indeed,
there is a critical need for civic leadership, constructive criticism, visioning, and direction that only architects and design professionals can provide.
F or Mor e I nf o r m ati o n
Whitney Young Jr.’s address to the AIA (1968): http://isites.harvard.edu/fs/
docs/icb.topic753413.files/14_Outsiders%20in%20the%20Profession/
Young%201968%20AIA%20speech.pdf.
“Building Community: A New Future for Architecture Education and Practice”
(Carnegie Foundation, 1996) by Ernest L. Boyer and Lee D. Mitgang.
R/UDAT report on Newport, VT (2011): http://discovernewportvt.com/sites/default/
files/_Newport%20RUDAT2011_1.pdf.
4.4 Public Service and Community Involvement
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BACKGROUNDER
IND E PENDEN T C OM M UNITY D E SIG N
CE NTER S
Ce ara O’L ea r y
This essay focuses on the primary characteristics particular to
independent community design centers, focusing on the role
of the architect practitioner in public interest design. Examples from the Gulf Coast Community Design Center in Biloxi,
Mississippi, and buildingcommunity WORKSHOP in Dallas
help illustrate the work of community design centers.
Ceara O’Leary is an Enterprise Rose Architectural Fellow at
the Detroit Collaborative Design Center. Before joining
the fellowship, O’Leary was the inaugural Public Design
Intern at the Gulf Coast Community Design Studio in
Biloxi, Mississippi, and worked as a community designer
at bcWORKSHOP in Brownsville, Texas.
Independent community design centers are a central
model for public interest design practice, in addition to
university-based design centers and pro bono practices—
both of which are detailed elsewhere in this chapter. Since
the 1960s, independent community design centers have
been defining a sustainable public interest design practice
that is not dependent on university support or internal subsidy. Instead, independent design centers subsist on an alternate funding model focused on third-party investment, in
addition to more traditional fees for service. External support most often comes in the form of grants from foundations
and other philanthropic organizations, government initiatives, or strategic partnerships. An indicator of the sector’s
traction, there are a number of foundations that specifically
support community-based design endeavors. Government
funding supports projects and research related to disaster
recovery and prevention, addressing hurricane conditions
or extreme neighborhood disinvestment. Independent community design centers often secure project-specific funding
as well as more flexible support for operational and ongoing project needs.
The collaborative design process is central to communitybased design and has been since its inception. Accordingly,
effective partnerships are imperative to today’s public interest
design practice. Two community design centers that exemplify this type of practice are the Gulf Coast Community
Design Studio in Biloxi, Mississipp, and buildingcommunity
WORKSHOP in Dallas.
G U L F C OA ST C OM M U N I T Y D E S I G N S T UD IO
( G CCD S)
Although the GCCDS is a university-based endeavor, with
administrative and faculty support from Mississippi State University, the office—founded in the wake of Hurricane
Katrina—operates largely independently. As such, GCCDS
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funds projects and forms partnerships as an independent
community design center.
For independent community design centers, partnering
for funding opportunities and government support is key.
However, the most critical collaboration is with the community that the practice seeks to serve, also known broadly as
the client. David Perkes, AIA, the founding director of the
GCCDS, was strategic on both counts. When the GCCDS
first set up shop in Biloxi in the year following Hurricane
Katrina, Perkes and his team joined a community struggling
to recover. The office attended weekly meetings organized
by city councilman Bill Stallworth that focused on meeting
the needs of East Biloxi, the poorest and most devastated
Biloxi neighborhood. It became clear that an inventory of
properties was essential to the effort, so the GCCDS went to
work mapping the peninsula, surveying the conditions of
each parcel. By contributing to this larger partnership and
responding to immediate needs, the GCCDS earned the
trust of the community and established lasting relationships
that fostered the subsequent success of the office. At the
governmental end of the spectrum, the GCCDS found an
important ally in the Mississippi Development Authority,
which required that federal funding for rebuilding postKatrina homes include design services. This arrangement
resulted in robust partnerships with affordable housing
developers across the Mississippi Gulf Coast over the next
few years. Today the GCCDS boasts a greater variety of
funding sources and a broader scope of work, ranging from
government support for flood-proof construction research to
an environmental foundation investment for bayou
restoration projects.
b ui ld i ng c ommuni tyWOR K S H OP (b c W OR K S HOP )
Early on, the GCCDS formed strong partnerships with other
professionals and nonprofits in the area, in addition to developers and builders. The same can be said for bcWORKSHOP in Dallas, founded by Brent Brown, AIA, in 2005.
Now operating out of three offices in Texas, bcWORKSHOP
is an independent nonprofit organization. In 2011, bcWORKSHOP established a new office in the Lower Rio Grande Valley, embarking on projects that respond to the specific needs
of the border region. Importantly, these projects are grounded
and informed by strong local partnerships. A community
planning effort in several flood-prone colonias—severely
underserved neighborhoods developed in a predatory
manner—was made possible through collaboration with four
distinct community organizing groups with deep roots in the
local community. Through this partnership, architects, planners, and organizers collaborated with community members
to develop plans for future improvements. Additionally, this
collaborative effort spurred an ongoing partnership with
CDC Brownsville, a highly effective community development
E X PAN D E D SE R V I C E S
Alternative project delivery further speaks to an expanded
scope of services for the public interest designer. For the
GCCDS and bcWORKSHOP, as well as other independent
community design centers, the average scope of services is
quite broad. Technical assistance includes architecture and
planning, as well as mapping and visioning. Both offices
embrace research, community education, and intern training.
They also dedicate significant resources and attention to outreach efforts and community engagement. By nature, public
interest design is larger in scope than conventional practice,
encompassing social, economic, and environmental concerns and espousing projects that are relevant to the general
public rather than the interests of an individual client. Thus,
public design seeks to serve a broad population and include
stakeholders that are often overlooked in typical design practice. As such, the architect serves as an advocate on behalf
of underserved communities.
In public interest design, the design professional plays an
important leadership role, facilitating public participation,
pursuing complementary expertise, and harnessing financial
support. The architect also plays a new role in acquiring
projects, a process often closely aligned with identifying community needs. While community-based organizations may
seek out design professionals for assistance, public interest
design professionals also reach out to stakeholders in communities where design-related needs are apparent and collaborate to better define such needs. Effective public design
practices work in partnership with local communities and
endeavor to establish lasting relationships. Collaboration is
particularly important since design-related needs often
require ongoing commitment as well as trust among partners.
C ONC LUS ION
Independent community design centers contribute to a larger
field of public interest design practice that is united by a commitment to responding to local community needs and providing design services where there are none. The GCCDS and
bcWORKSHOP illustrate the use of interdisciplinary collaborative solutions to identify and solve design challenges.
Independent community design centers are unique in their
public mission and organizational support, combining
earned income with government and philanthropic funding
to meet community needs. As the new wave of public interest
design gains momentum, additional government and foundation support is essential. Regardless of how public interest
practice takes shape, a more mainstream presence will make
for a more effective and inclusive trajectory for the field of
architecture at large.
BACKGROUNDER
TH E AM ER ICAN IN ST IT UT E O F
AR CHIT EC T URE ST UDEN T S F RE E D O M B Y
D E S IGN
Matth ew A. B a r s t ow, As s oc. A IA
AIAS Freedom by Design is the primary service program of
the American Institute of Architecture Students. The program
organizes teams of students from its chapters around the
country to retrofit homes for people with disabilities.
Matthew A. Barstow graduated from the University of New
Mexico with a Bachelor of Arts in Architecture and
served as the 56th national president of the American
Institute of Architecture Students (AIAS). Barstow owned
and operated a real estate management and development firm.
MIS S ION
AIAS Freedom by Design, the community service program of
the American Institute of Architecture Students, uses the talents of architecture students to radically affect the lives of
people in their community through modest design and construction solutions. Vital modifications are made to enhance
the homes of low-income people with disabilities by addressing their struggles with everyday tasks such as bathing,
ascending stairs, and opening doors. The program’s priority
is improving the safety, comfort, and dignity of individuals
with accessibility challenges.
TIMELINE
AIAS Freedom by Design was founded in 1999 by Brad
Buchanan, FAIA, in Denver as an independent nonprofit
(continued)
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corporation. This collaboration has resulted in an array of
additional community-based projects and contributed to
bcWORKSHOP successfully planting new roots in the Lower
Rio Grande Valley.
Ideally, all models for public interest design are based on
building relationships and trust within the community and
partnering with community stakeholders. Independent community design centers strive to ensure ongoing investment in
a more inclusive and collaborative design process. Importantly, this partner-based model of practice alters conventional project delivery, with an emphasis on building
partnerships and forming collaborative agreements.
PA R T 1 : T H E P R O F E S S I O N
organization. The program operated independently until
2003, when the then-president of the AIAS attended a presentation on Freedom by Design at the AIA national board of
directors meeting. After this experience he offered to have
the AIAS take on Freedom by Design as a national program
of the AIAS. AIAS Freedom by Design launched as a pilot
program in early 2004, beginning with six chapters: Arizona
State University, Kansas State University, University of New
York Buffalo, University of Colorado Boulder, University of
Nebraska at Lincoln, and the University of Wisconsin–
Milwaukee. Since then, the AIAS program has grown substantially:
• In 2005 the pilot program expanded to include five new
chapters.
• In 2006 the program was released nationally and grew
by thirteen chapters.
• In 2011 the AIA added AIAS Freedom by Design-specific
programming to its Grassroots Leadership Conference.
• As of 2012 there were approximately 60 active chapters
with AIAS Freedom by Design programs.
• 195 projects were completed from 2007 to 2012.
S E RVIC E L E V E L S
In an effort to help AIAS chapter leaders have a better understanding of the time and resources necessary for the varying
levels of AIAS Freedom by Design projects, the AIAS has
established three service levels that outline the parameters of
the program.
Service Level One
Service Level One projects are classified as projects that can
be completed in a single workday with a team of four to six
volunteers. Projects at this level should not require a building
permit, should cost less than $250 in materials, should be
completed within 60 days of project acceptance, and should
require no prior knowledge or training. Example: replacing
door knobs, forming and pouring an eight-foot ramp to
replace a single exterior step.
Service Level Two
Service Level Two projects are classified as projects that can
be completed in four workdays with a team of four to six
volunteers. A building permit may be required, and the project materials should cost no more than $1,000. Example:
building an exterior wood ramp where the first two days are
spent forming and pouring the foundations and the last two
days are spent framing the ramp.
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Public Interest Design
Service Level Three
Service Level Three projects are classified as projects that can
be completed in 10 workdays with a team of four to six volunteers and a building permit will be required. The project
must be less than $10,000 and should be completed within
120 days of acceptance. Projects at this level allow students
to schedule and coordinate skilled laborers, such as tile setters, carpenters, draftsman, and electricians. Example:
Recently the AIAS Syracuse Freedom by Design program has
completed an agreement to redesign a treehouse to comply
with ADA accessibility. The project will allow children with
disabilities to be more included in the camp experience.
PR OC ES S OF A PR OJ EC T
• Information and resource gathering
• Selection of client and mentors
• Fund-raising and acquisition of building materials
• Design solution
• Students work with mentors and the client to design an
affordable solution for the client’s specific problem.
Once a feasible solution is accepted by the client, team,
and mentors, the students attain permits, assemble a
volunteer team of AIAS members, and work with their
mentors to complete the project build-out in a timely and
professional manner.
• Information and resource dissemination
• Students provide project documentation in the form of
videos; press releases; and local, social, and national
media.
Although AIAS Freedom by Design projects work through
the same design and building process as typical architecture
firms, it is important to remember that the process is managed
by volunteer students who are working with mentors to better
understand the profession they are seeking to enter. Students
act as architects, project managers, and fundraisers throughout the project. This exposes students to true design and
building processes through civic engagement that ultimately
provides design solutions for some of our local communities’
most underserved individuals and families.
For More Information
The AIAS Freedom by Design Instructional Manual:
www.aias.org.
The Beyond Architecture Campaign Support Manual:
www.aias.org.
AIAS Facebook page: www.facebook.com/theaias.
P A R T 2
FIRM
MANAGEMENT
Operating an architectural firm requires
knowledge of marketing, financial
management, and human resources. Firm
development, including continuing attention
to strategic direction, knowledge
management, and administrative
effectiveness, must be an ongoing concern
for firms of all sizes. Throughout a firm’s life
cycle, from start-up through growth and
development, ownership transition and
potential expansion to global or multi-office
practice, entrepreneurial architects benefit
from increasing their understanding of
management best practices.
C H A P T E R
5
PA R T 2 : F I R M M A N A G E M E N T
Organizational
Development
5.1
Architects and the Law
Donald W. Doeg, Esq., PE, LEED AP
Architects, like other professionals, render their services in a difficult and
complex environment. In order to be successful, knowledge of the basic
components of the legal requirements that govern their profession is essential.
LEG AL OV E R V I E W
Architects, like many other professionals, are confronted with legal issues on a regular basis and thus must have a basic understanding of the law in order to successfully practice architecture in today’s complex world. A wide spectrum of sources
creates legal requirements that dictate standards under which an architect must
practice. These sources include, but are not limited to: statutes passed by federal,
state, or local legislative bodies under their constitutional authority; administrative
rules and regulations; building codes and standards; local ordinances; obligations
established by contract between two or more parties; and law established by precedent of prior interpretations by the courts and administrative agencies regarding
these requirements.
In order to meet the applicable standard of care (which will be discussed in more
detail later in this section) it is the architect’s obligation and duty to practice in
Don Doeg is a principal at Updike, Kelly & Spellacy, P.C., in Hartford, Connecticut, and the
chairman of the firm’s Construction Law and Design Professional Law practice groups. His
practice is devoted to assisting clients in all aspects and stages of construction projects, including resolution of any dispute that may arise.
168
C OM MON C LAIMS AG AIN ST ARC H ITE C TS
▶ Dispute Management and
Resolution (16.4) discusses the
effective and strategic use of
methods for resolving project
disputes.
▶ See Regulation of Professional
Practice (3.1) for related
information on licensing
regulations.
▶ Building Codes and Standards
(13.1) and Planning, Urban
Design, and the Regulatory
Environment (13.2) further
discuss the myriad regulations
concerning building design,
planning, and zoning.
If formal disputes arise relating to construction projects, attorneys will articulate
their clients’ claims in the lawsuits based upon various legal theories. The two legal
theories most often alleged in claims against architects are “negligence” and
“breach of contract.”
Negligence
Over view of Negligence
The existence of negligence is often more difficult to determine than whether a breach
of contract has occurred. Under the law, there are four components that must be
proven in order to prevail when asserting a negligence claim. They are as follows:
• Duty. The architect must owe a legal duty to the person making the claim. In other
words, the architect has a legal obligation to do something or refrain from doing
something.
• Breach. The architect fails to perform the duty or does something that should not
have been done.
• Cause. The architect’s breach of duty is the proximate cause of harm to the person
making the claim. That is, was the claimant injured or harmed as a consequence of
the act and/or omission of the architect without any intervening cause?
• Damage. Actual harm or damage must have resulted from the breach.
Standard of Care
In claims against professionals, including architects, it is often difficult or impossible
for a layperson to unilaterally determine the duty component of negligence as defined
above. As such, the law has established that that duty is to meet a standard of reasonable
care for the performance of the work. The standard of care for an architect is generally
defined as what a reasonably prudent architect would do in the same general locale, in
5.1 Architects and the Law
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compliance with all applicable laws, codes, and regulations. While most of the existing
construction related law will apply to architectural practice in some manner, there are
laws and other legal obligations that may not be applicable to particular parties, such
as the architect. For instance, certain OSHA obligations are directed to the means and
methods by which a contractor performs its work on a project. Unless the architect
specifically assumes some specific obligation through its contract, those obligations
may not extend to the architect.
In a very broad sense, issues of law impacting architects can be broken into two
general categories: party disputes and administrative proceedings. Party disputes, the
focus of this article, occur when problems arise on a project, such as delays, failures, or
potential failures relating to the work performed, fee controversies, and a long list of
other issues. Problems don’t always result in disputes and disputes don’t always result
in legal action. However, it is important to understand that the outcome of many of
those disputes will rest heavily on whether the parties have met their legal obligations.
Administrative issues and proceedings also play a very significant role in an architect’s life. Administrative issues arise from regulations developed to implement civil
statutes and other legal requirements, such as the area of professional licensing. Typically, this area of the law is overseen by public officials charged with ensuring compliance with certain laws, standards, and regulations. Under their statutory authority, state
registration boards, code officials, and other administrative agencies are given the
power to develop, implement, and enforce regulations needed to do their jobs. Individuals and entities subject to regulation typically have opportunities to seek variances
or appeal decisions through administrative channels (e.g., zoning boards of appeal).
When administrative avenues have been exhausted, it is possible to seek review of
administrative decisions in the courts.
PA R T 2 : F I R M M A N A G E M E N T
▶ Owner-Generated Agreements
(17.3) discusses a systematic
approach to evaluating terms in
agreements provided by owners.
▶ Insurance Coverage for
Business and Professional Liability
(16.2) covers the terminology
and the necessary considerations
and alternatives when selecting
insurance for one’s firm.
170
the same time frame, given the same or similar facts and circumstances. The architect’s
legal responsibilities to a client are examined in light of what reasonably prudent architects would have known and done at the time services were performed.
In order to prove whether the standard of care has been met in a particular instance,
the courts in most states require expert witness testimony. That is, since a layperson
judge or jury would not have the requisite knowledge to determine what a reasonably
prudent architect would have done under similar circumstances, each of the parties
must retain an expert witness to provide an opinion as to the applicable standard of care
for the case (what should or should not have been done by the architect). The judge or
jury is ultimately charged with applying the standard of care that they believe is most
credible to the facts of the case and determining whether the architect acted appropriately.
Despite the thoughts of some owners and/or their attorneys, the law does not
require perfection from an architect based upon a typical standard of care scenario. If
given enough time, an experienced third-party reviewer would likely find some glitches
or inconsistencies on any set of architectural drawings currently in existence. However,
the mere existence of a few minor glitches or inconsistencies within project documents
does not mean that the author has failed to meet the prevailing standard of care.
Despite the existence of alleged “flaws,” another expert may well opine that the standard of care has nonetheless been met. The outcome of these types of disputes is
dependent upon the particular facts in each case.
It should also be noted that since architecture is an integration of art and building
science, in virtually all situations there is more than one way to design a project or even
a portion of a project. The fact that another architect would have used different details
or materials does not necessarily dictate a violation of the prevailing standard of care.
The successful practice of architecture is based upon reasoned judgment and skill and
the law recognizes that even if there is differentiation among various designs, it does
not necessarily mean any of them were performed negligently.
The standards of care applicable to a particular project can be modified by contract
or conduct. The most frequent example of this practice is an attempt by owners to
elevate the standard of care. Rather than applying the typical standard of care described
above, some owners’ contracts seek to require a standard of “best practices,” “highest
prevailing standards,” or some other similar language that elevates the mandated standard of care for those projects. Architects should be wary of such heightened standards
for at least two reasons: (1) the new standard may not be adequately defined in the
industry, which may lead to a great deal of subjectivity and debate if a conflict ever
arises; and (2) such standards may not be insurable under many typical professional
errors and omissions policies.
Each of the components of the aforementioned definition of the professional
standard of care can be subjective in nature. Depending on the specific issue at hand,
courts have given some latitude to the “in the same general locale” component. For
instance, it would not be prudent for an architect in the southern states to incorporate a large factor for snow load on the roofs of their designs, and, similarly, architects in the north central states may not have the same concerns about hurricane
loads as their colleagues in the southeastern states. Yet in other instances, courts have
held that knowledge about basic design concepts and/or certain building products
(both good and bad) should be known by architects throughout the country. This
nationwide knowledge can be applied in several manners by the courts. For instance,
the level of knowledge of certain questionable materials may be consistent throughout the country (e.g., use of asbestos or the risks of fire-retardant plywood) regardless
of the size or nature of the specific architectural practice. In other situations, architects with certain building type specialties (e.g., large sports stadiums, large museums, and major hospitals) may have a national practice and may be compared to
other architects with the same specializations, even if their respective offices are
many states away.
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The “in the same time frame” component has also been heavily litigated. In general, the applicable standard of care is the one in place at the time of the project, not
the one in place at the time of the dispute, which can be years later. As such, experts
who subsequently assert that the prevailing standard should have resulted in the use of
materials or techniques that were unknown or in their formative stages at the time of
the project are not persuasive with the courts. Last, but not least, the “same or similar
circumstances” component must also be strongly considered. For instance, the owner’s
budget will significantly impact a project. The standard of care must be determined for
an architect working within the same budget, and under the same constraints, as were
encountered for the underlying project. Alternatively, the “same or similar circumstances” also includes the type of project and the experience of the architect. That is, a
small local architectural firm designing residences in a certain locale will not be held
to the same standard as a national architectural firm that routinely designs large and
complex facilities such as sports stadiums or health care facilities. Unfortunately, meeting the relevant standard of care may not be enough to protect an architect from litigation. A lawsuit can be commenced by almost anyone, in most states even by a party with
whom the architect had no contractual relationship. However, if an architect is mindful
during the course of the project of the standard of care that must be met, it will go a
long way toward both diminishing the chances of the commencement of litigation as
well as providing good defenses to the architect if litigation does arise.
Modifying the Standard of Care by the Architect’s Actions
Even though the law requires only reasonable and prudent behavior, an architect can
expand or raise the standard of care. This may be done either consciously or inadvertently. The standard of care can be altered in literally countless ways by the architect’s
actions, such as promising a specific project result (e.g., that the roof or basement will
not leak); taking on the contractor’s responsibilities (e.g., dictating means and methods
or designing something that the contractor was required to do as part of a performance
specification); or promising a specific supplier performance result (e.g., delivery of
certain materials by a specific date).
It is important to realize that raising the standard of care increases the architect’s
liability exposure by making the architect responsible for more than the professional
standard requires. Sometimes design professionals—under pressure from clients or
contractors or propelled by their own drive for perfection—raise the standard of care
that will be applied to their services without intending to do so.
▶ Risk Management Strategies
(16.1) addresses how to
determine whether a risk is worth
taking and how to manage risks.
Damages
Damages for negligence claims are typically measured by the standard of the plaintiff
being entitled to compensation to remedy the negligence of the architect. If the case
were litigated or arbitrated, the judge, jury, or arbitrator would have to decide what that
compensation would entail based upon the arguments set forth by the litigants. For
instance, if litigation resulted in a finding that an architect improperly designed a set of
stairs that did not meet the applicable building code and those stairs were subsequently
constructed in accordance with those faulty plans, an owner may be entitled to the cost
of removing the stairs and installing another set of stairs that met the applicable code.
Breach of Contract Claims
Over view of Breach of Contract Claims
“Breach of contract” claims are relatively self-explanatory. Such claims are based upon
an allegation that a specific duty or duties existed pursuant to a contract between two
parties and one of those parties either failed to perform that duty or did not perform
it properly. For instance, an owner/architect agreement may specifically require that
the architect provide record drawings at the conclusion of the project. If the architect
fails to do so, a breach of contract claim may ensue.
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The elements of a breach of contract action are the formation of an agreement,
performance by one party, breach of the agreement by the other party and damages.
To form a valid and binding contract there must be a mutual understanding of the
terms that are definite and certain between the parties. Each must be found to have
been based on an identical understanding by the parties and an agreement must be
definite and certain as to its terms and requirements.
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Contractual Protections
▶ The AIA Documents Program
(17.5) details what AIA Contract
Documents offer the parties
involved in the design and
construction of buildings.
▶ Defining Project Services
(15.1) addresses the centrality of
scope definition in developing
effective agreements for
professional design services.
▶ Services and Compensation
(15.2) discusses the variables for
architects to consider in setting
compensation, as well as various
methods of compensation and
strategies for getting paid.
Logic dictates that the quality of the architect’s contract will have a large impact on the
potential claims and defenses against the architect. It is imperative that the architect
spend time on each and every contract to understand and negotiate each of the clauses.
Each and every contractual clause may prove to be either a significant defense available
to the architect or a huge detriment.
Owner/architect contracts can be either written or oral. Written contracts are preferred by almost everyone in the design industry. Perhaps the largest benefit of a written contract is the fact that it preserves a written articulation of the agreement between
the parties, including all critical components, which can be referenced if a subsequent
dispute arises. Coming to a common understanding of the terms of the original agreement often proves very difficult if an oral agreement is in place and a dispute subsequently arises. In addition, the applicable statutes of limitation may vary depending
upon whether the contract was in written or oral form.
It is important to recognize that written architectural contracts take many forms,
depending upon the particular project and parties. The most common construction contracts in the industry are form contracts that are published by various construction industry groups, the industry standard being the AIA documents. The provisions included in
these form contracts have been formulated over many years’ use in the industry. While
many parties opt to use the industry forms “as is,” there are other situations in which one
or both parties may seek to modify one or more of the provisions, sometimes significantly. In addition to the industry form contracts, there are many other types of contracts
prepared by specific owners, design professionals, or others that also are used.
The following are some key provisions that, if properly included in an architectural
contract, will go a long way toward protecting the architect.
The Absolutely Essential Terms: Whether an agreement is written on the back
of a napkin or consists of a long-form agreement, it is absolutely critical that the agreement include a written summary of the project scope, the time frame in which it will
be performed, and the fee agreement for the project.
• The Project Scope: It is critical to describe the scope of work to be accomplished. In
some instances, it is equally or even more critical to describe any exclusions (e.g., in
some instances the architect does not plan to be involved in the construction administration phase, but the owner may not comprehend that fact).
• The Project Time Frame: Many disputes have occurred because the owner and architect did not specifically discuss the time frame for the project and assumed vastly
different parameters for the start and completion dates (and other critical milestones) of the work.
• Project Fees: It is essential that the architect and owner agree on the type of payment
(e.g., lump sum, hourly, not to exceed, etc.) and the time frames for the payment
(e.g., monthly, one payment at end of project, percentage of project completion).
Other Key Terms: The following are a few of the many contract terms that can
have a significant impact on an architect’s exposure should problems arise during the
course of the project. These terms are but a few of the many critical contract provisions
that may exist for a particular project:
• Limitations of Liability Clauses: These clauses will limit claims by the owner against
the architect to a certain amount (e.g., a set dollar limit or the balance of the
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remaining insurance policy) should a dispute between the parties arise. These
clauses have been enforced in many, but not all, states.
• Mutual Waiver of Consequential Damages: This is a standard clause in many AIA form
contracts, but is often stricken by owner’s counsel. Consequential damages are those
that are not direct damages, but only arise as a consequence of some act or omission.
In the prior example, if an architect failed to design a set of stairs to code and they
subsequently had to be replaced prior to a certificate of occupancy being granted, the
cost to do the replacement work would be direct damages. The delay in the opening
of the facility would be consequential damages and, if the waiver was part of the contract, the owner would not be able to collect damages of this type from the architect.
• Indemnification Provisions: Many owners attempt to add indemnification clauses to
the agreements with their architects, which, in essence, are a contractual requirement that the architect reimburse the owner for damages caused by the architect’s
acts and/or omissions. It is absolutely critical that the architect confer with his/her
insurance broker and/or attorney prior to agreeing to any such clause. Many of
these clauses, as proposed, are so broad and onerous that they are not insurable by
the architect’s professional malpractice carrier and therefore put the architect at
tremendous risk if the language is not modified.
Changes in Scope of Ser vice
It is equally important that architects properly document any changes to their agreement with the owner during the course of the project. Almost every project is a very
dynamic process, with changes occurring rapidly that impact the architect’s scope of
work and fee as well as the project schedule. Just as it is critical to properly document
the agreement between the parties in the initial contract, it is equally important to
document any subsequent changes during the course of the project. If a subsequent
dispute arises, written change orders documenting any changes to the original agreement will be essential to allow a court to determine the agreement between the parties.
It is essential that the architect documents these changes and brings them to the attention of the owner. If possible, a formal change order should be prepared and signed by
all parties. In some instances, it may be difficult to get the owner to sign off on a change
order during the course of a project. In those instances, it is critical to nonetheless
document the changes in writing and send it to the owner advising them that a change
has been made to the contract scope/time frame/fee and outline those changes. That
documentation will be very helpful in proving the changes were known and agreed
upon should a subsequent dispute arise.
Damages
Damages for breach of contract claims are typically measured by the standard of the
plaintiff being entitled to compensation that would put them back in the position they
would have been in if the contract had not been breached. If the case were litigated or
arbitrated, the judge, jury, or arbitrator would have to decide what that compensation
would entail based upon the arguments set forth by the litigants. In the previous example regarding the failure to produce record drawings a judge, jury, or arbitrator may
decide that the owner is entitled to the cost of having another design professional
prepare those documents.
Vicarious Liability
In General
Agency relationships are common in everyday practice. That is, one party acts on
behalf of another relating to a particular project or task. However, certain obligations
and liabilities arise out of these relationships. The world of construction is no different.
For instance, an architect’s employee acts as an agent of the architect on a project. A
corporate officer acts as an agent of a corporation in signing an agreement for
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professional services. Partners are agents and, under the law, also principals for each
other. That is, partners are agents when they act for other partners (principals) and
principals when their other partners (as agents) act for them.
Under an owner-architect agreement, the architect may have an agency relationship with the owner for certain designated activities. The central question in agency
relationships is the scope of authority the agent has been granted to act on behalf of
the principal. Thus, architects acting as agents of the owner need to know the limits of
their authority in dealing with the contractor and other third parties. Firms will want
every person who can be perceived as acting as the firm’s agent to understand the limits of his or her agency authority. Staying within the limits of their authority is the best
protection agents can give themselves and the principals they serve.
For Consultants
▶ Project Team Agreements
(17.2) addresses agreements
between architects and
consultants and those that
establish joint ventures between
firms.
In many typical projects, the architect enters into a contract with the owner for all, or
virtually all, of the design services for the project. The architect, in turn, retains consultants (typically engineers in various disciplines) to perform portions of the overall scope
of design work. Consultants who perform professional services on behalf of architects
under the terms of an architect/consultant agreement are independent consultants. In
those situations, the consultant may sometimes act as an agent of the architect.
While the law will hold these consultants to the standard of reasonable care applicable to their professional expertise, the architect may be found to have liability for the
consultants should an issue arise during the course of a project. In essence, many courts
have found that the architect was contracted to provide the entire scope of design
services and therefore has liability if a problem arises. While the architect may likely
have a claim against its consultant for indemnification in such instances, such a claim
may not fully exonerate the architect for future claims by an owner if, in the intervening period, the consultant has become financially unable to take responsibility or the
consultant’s insurance coverage proves to be inadequate.
In some instances the owner, not the architect, engages certain consultants and the
architect’s obligations with respect to those consultants may be limited. Typically, the
architect has far more limited exposure relating to the acts and/or omissions of those
consultants. In these types of situations, the terms of engagement should be clearly stated
in writing. Architects usually are not responsible for project consultants hired directly by
the owner unless the architect agrees to this responsibility in the owner-architect agreement or acts in a way that makes the architect responsible, such as signing a Certificate
for Payment or a Certificate of Substantial Completion for the consultant’s work.
For Employees
Similarly, the architectural firm is responsible for its employees during the course of a
project. The Courts will generally hold the architectural firm itself responsible for the
acts and/or omissions of each employee. A possible exception to this responsibility is if
the employee clearly acts beyond its role and tasks required of it by the architectural
firm. For instance, if, unknown to the architectural firm, the employee sells illegal drugs
while on the job site, the architectural firm will likely not be culpable for those acts.
Alternative Project Relationships
▶ Project Delivery Methods (9.1)
presents an overview of available
models for project delivery.
174
The types of relationships between members of the construction community seem to
constantly evolve and expand. In addition to the conventional owner, design team, and
construction team relationship, a number of other alternative relationships are being
employed in the industry. Two examples of these alternative relationships are
contractor-led design-build and joint ventures.
Contractor-Led Design-Build: In this variation of the conventional construction project delivery, the owner contracts with one entity, the contractor, to provide all design
and construction services for the project. The architect typically subcontracts directly
Organizational Development
▶ See Contractor-Led DesignBuild (9.4) and the backgrounder
Design-Build Agreements (17.2)
for related information.
Third-Par ty Actions
In addition to their obligations for damages to the party with whom they contract,
architects can also be held liable for negligent acts, errors, or omissions that physically
injure or damage third parties with whom the architect has no contractual relationship.
These third parties include construction workers, passersby, and occupants or users of
projects.
The obligations to third parties stems from a variety of sources. In many states,
statutes, regulations, and prevailing case law requires architects to safeguard life, health,
public safety, and property and to promote the public welfare. In fact, many of those
states use this obligation for licensed architects as one of the key considerations to
justify the licensing and registration statutes themselves.
Prior to 1956, the legal concept of privity barred third-party actions. Privity
required the litigating parties to prove they had a direct contractual relationship with
each other and that the injury occurred in the course of that relationship. Since that
time, the courts in many states have, with regard to physical injury and in some cases
property damage, extended the group of individuals to whom architects may owe duties
to include third parties whom architects can reasonably foresee will depend on them
to provide services in a non-negligent manner. However, the law differs from state to
state regarding the issue of privity and it is important to get legal advice to determine
the law that applies to each particular project.
The types of potential third-party actions vary widely. For instance, a worker hurt
on a construction site may opt to sue a wide range of entities involved in the project,
including the architect, despite the fact that they had no direct contract with any of
those entities. Alternatively, a visitor to the facility after completion may option to
commence litigation against the architect, owner, or others if they are injured during
their visit due to alleged design or construction defects.
D E FE NS ES T O C LAIMS
Over view
In the unfortunate, but not infrequent, event that a dispute does arise on a construction project, the architect may have a variety of contractual or statutory
defenses to bolster the factual arguments that may be made. While the law varies
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with the contractor to provide services for the project. While this type of arrangement
may offer many advantages on certain types of projects, it also raises certain potential
risks to the architect that do not exist with the more conventional project arrangement.
For instance, the conventional construction project arrangement is set up, in part, to
provide a layer of checks and balances that protect the owner. In such situations, the
architect typically has certain obligations to identify problems relating to the contractor’s work and the contractor has similar obligations regarding the architect’s work.
These obligations may not exist, or at a minimum are severely compromised, in a
design-build relationship. Many architects have been placed in very difficult situations
when their client, the contractor, wishes to perform work in a way the architect may
not agree with. The drafting of the agreements in these types of arrangements is critical in order to protect the architect from these types of problems.
Joint Ventures: It is common for the courts to consider the parties to a joint venture
to be jointly and separately responsible for the actions of the joint venture. That is, if
an injury occurs because of the negligence of either party to the joint venture, the joint
venture can be sued collectively or the parties to the joint venture can be sued individually. Therefore, professional responsibility and liability should be carefully allocated
in contractual agreements between the parties to a joint venture. Because many states
qualify how and under what circumstances professional responsibility may be shifted to
another party, legal advice should be sought when preparing such agreements.
from state to state, the following are some issues that may impact claims against an
architect:
Statute of Limitations
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With very few exceptions (such as criminal charges for murder), the states have
established specific time frames in which claims must be asserted, or they are permanently barred. For instance, generally stated, a claim based upon negligence
against a design professional must be asserted within 3 to 10 years (depending upon
the particular state’s statute) after the completion of the project. As such, an
aggrieved party could know about a potential claim during the construction phase
of the project, but not be obligated to commence litigation until just before the
statute of limitations expires. That is, the party could wait the full 3- to 10-year
period of the applicable statute and then file a claim a few days before the statutory
time frame expires. A breach of contract claim may be subject to a different time
frame, even within the same state. While there are a few situations that would allow
an exception (e.g., the existence of fraud on the part of the architect), these statutes
have proven to be very helpful in protecting architects from older claims.
Statutes of Repose
Some states have incorporated statutes of limitation, while others use statutes of
repose. Statutes of repose are similar to statutes of limitation and serve to set time
limitations under which claims can be made against architects and others. Differing
slightly from the statutes of limitation, statutes of repose commence running at the
time that the alleged digression is discovered, and the statutory period for bringing a
claim after discovery of the discretion is typically much shorter than a statute of limitation period. In addition, there is also a strict cutoff date for rights of action. For
instance, a statute of repose against an architect could run for two years from the date
a plaintiff knew or should have known about a claim, but that same statute would limit
any potential claims to those filed less than six years from the date of substantial completion of the project. Under the preceding example, if a potential plaintiff knew or
should have known of a potential claim at the time that the project was substantially
completed but did not initiate a lawsuit until three years later, the claim would be
barred. Similarly, under the same statute, if the potential plaintiff first learned of the
potential claim five years after substantial completion, they would only have one year
to make a claim since all claims would be barred that are not initiated within six years
under that theoretical statute.
Betterment
This concept applies to some negligence claims asserted against architects. A negligence claim can be asserted against an architect either for (a) an error in some act
performed (such as not designing the stairs to code, resulting in the necessity of
replacing them); or (b) an omission (the architect did not include a component of the
project in its design (such as not showing carpeting that was required in a hallway) and
that component needed to be part of the project for a successful completion. While
the law differs from state to state, generally the architect would be responsible for the
costs arising from its errors, but may only be responsible for a fraction of the cost
attributable to its omissions. In a situation such as described above, in which the architect did not specifically designate carpet for a particular hallway, resulting in a change
order from the contractor, the courts have generally found that the owner would have
had to pay for the carpeting anyway, had it been shown on the plans originally. Since
the courts do not want to allow the owner to get something for free, and many courts
recognize that a contractor may charge a premium for such a change order, the damages typically awarded by the courts against the architect are only the costs of that
premium.
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Studies by some professional malpractice carriers have shown that one of the leading
reasons for claims against an architect is the architect’s initial pursuit (whether in formal litigation or not) of fees due on the project. There is a belief in the industry,
although not scientifically proven, that the reason that some owners file counterclaims
against architects is an attempt to get the architects to compromise, or walk away from,
their outstanding fees.
The time and cost expended in defending such a claim may exceed any fees that are
ultimately realized. As such, all architects must thoroughly consider the potential risks
and benefits of asserting such a claim before commencing such a demand. It is critical
that architects employ diligence during the course of the project to ensure that their
fees do not fall into significant arrears, as well as to include contractual provisions when
first forming their contract with the owner that will assist them if such a situation
arises.
C L AI MS AVOIDAN C E
There is a belief held by many in the construction industry that if an architect practices long enough, they are almost certain to be involved in a claim of some sort. In
reality, many architects are never formally personally made a party to litigation, but
almost everyone is ultimately involved in one or more disputes involving a project and
at least threatened with litigation. Notwithstanding that fact, the architect can definitively and substantially reduce the odds of being included in a claim as well as the
odds of being found liable if a claim unfortunately arises by taking proactive preventative steps. For instance, having a proper contract, as discussed above and elsewhere, is
invaluable. Two other key steps that each and every architect should employ on a
regular basis are proper communication with their client and using proper documentation on each project.
A staggering percentage of claims in the construction industry are based, in whole
or in part, on the failure of the parties to properly communicate. On construction
projects, problems often arise when the failure in communication leads to a failure to
manage the expectations of the other party. On construction projects, project participants often come to the table with markedly different backgrounds, experiences, and
goals, which all result in each of the participants having significantly different expectations. Those differences are typically most acute in the relationship between architects
and clients. Many clients have limited or no prior construction experience and do not
understand the nuances involved in the process. Such clients have high expectations for
their projects, beyond anything ever contemplated by the architect. The problem is
often that both sides assume that the other has similar thoughts and expectations as they
do regarding critical components of the project. By the time those differences become
evident, significant problems may exist on the project.
It is incumbent upon the architect not to assume that the owner is of the same
mindset of the architect. At the risk of being too elementary or redundant, the architect
must continuously endeavor at each and every step of the project to assist the owner in
knowing what to expect in both the short term and long term during the design/
construction of the project.
For instance, owners may also fail to realize that professional judgment, and potentially owner input, is required at each step, since the architect makes the recommendations and the owner makes the decisions. Architects need to remind these project
participants that buildings, unlike automobiles, cannot be pretested. Despite the effort,
care, and conscientiousness of the architect, the process of taking a project from drawing to reality has a lot of unknowns. The architect must make the owner aware of these
unknowns, their potential impact on the project, and what is being done to address
them.
▶ Suggestions regarding proper
documentation are more fully
discussed in the backgrounder,
Project Documentation, which
accompanies this article.
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Collection Actions for Architectural Fees
BACKGROUNDER
P ROJEC T DOCUM EN TAT ION
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D o nald W. Doeg , Es q ., P.E., LE E D A P
Perhaps the most critical component to a successful construction project is effective communication. Among the many
benefits of proper communication, one of the most compelling is that it will mitigate, and perhaps even eliminate in
certain circumstances, any potential claims. Project documentation is perhaps the most essential element of communication
in the construction industry.
It is critical that architects maintain appropriate documentation for each and every project. Not only is it beneficial to the
daily activities for each project, it is invaluable if claims ultimately arise. If a construction dispute goes to litigation, the
adjudication of many construction claims often takes place literally years after the event(s) in question occurred. In many of
those disputes, the exact wording and timing of the critical
communications plays a large role in the outcome of the case.
Unfortunately, many of us cannot remember what we had for
dinner a few days ago, let alone all of the nuances of a conversation that occurred several years prior. However, contemporaneous documentation during the project is generally allowed as
evidence during a trial and can greatly influence the final outcome of the trial, in either a positive or negative way.
Documentation accomplishes a number of purposes:
• Provides a written record of the contractual relationships
between the parties
• Provides a written record of the scope of the work to be
accomplished
• Serves as an ongoing communication process that tends
to raise the level of understanding between the parties
and eliminate problems
• Provides a chronology of the events of the project
• Provides a consolidated record if the parties have to revisit
the project at a later date
Written contracts provide a critical part of each and
every construction project. These contracts define the relationships between the various parties, including identifying the
scope of work to be performed by each party.
On virtually every construction project, the scope of work
is readily defined in the project documents. From these documents, an interested party can determine the intended final
result of the project and construct the project accordingly. In
addition to the project specifications and drawings, a number of other documents are critical to this goal. These include
shop drawings, submittals, change orders, sketches, and
Request For Information (RFI) responses issued during construction, project correspondence, construction change directives, and a host of other documents. Each of these documents
can be critical to the final result.
Constant communication tends to raise the understanding
of each party with respect to their responsibilities and the
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roles of others. In addition, since no one likes surprises, it is
a means by which potential surprises and problem areas can
be mitigated or eliminated at a very early stage. Correspondence, clarifying sketches/drawings, and RFIs all serve this
goal. More often than not, problems that are discussed during the project can be resolved with no permanent downside
to any party. Without communication, if a party attempts to
sweep a potential problem under the rug, it will typically lead
to far more serious consequences down the road.
Unfortunately, the possibility of a lawsuit is a very real
threat on almost every construction project. These claims can
involve a combination of the multitude of parties central to the
construction, including the owner, the surety, design professionals, the contractor, subcontractors, suppliers, or any of
their employees. Lawsuits can also involve outsiders, such as
visitors to the construction site. The possibilities of potential
claims are seemingly endless. In such an environment, the
importance of proper documentation only increases. Often,
trials involving construction disputes happen years after the
actual events leading to the claim. It is not uncommon for
trials to take place four to seven years after the project was
completed. Without proper documentation, it is difficult to
properly recall the key events surrounding the alleged claims.
Even the best-intentioned people have trouble remembering
details, and especially when it comes to monetary or liability
issues, some may have “difficulty” remembering precise
details. As you might expect, there is often a heated dispute
over certain key events on any trial. Contemporaneous documentation is critical in resolving those disputes or influencing
the decision maker(s) several years later.
Courts often look to documentation based on the fact that
court cases occur years later and memories can be faded or
slanted during that time. In some instances it may seem that
the party who has the most proper documentation wins.
Conversely, there are also certain potential problems
associated with project documentation. If a party spends too
much time attempting to document every conceivable detail
(an admittedly impossible task), the project will likely become
either cost prohibitive or impossible to complete in the given
time frame. In addition, documenting files and sending frequent “CYA” type letters to everyone on the job, including the
client, often leads to another set of problems, not the least of
which may be a sense of distrust or unease created for the
client.
The amount of paperwork necessary for proper communication on any given job can be extremely subjective. An
architect must balance a wide range of considerations,
including but not limited to the size and complexity of the
project and the personalities and reputations of the other
entities involved. There is a certain amount of required paperwork on any project. For instance, contracts, change orders,
drawings, specifications, shop drawings, and documents
relating to any governmental approval process are critical
E S TABL I SH PR OPE R OF F I C E PR OT OC OL F OR
RE CO RD KE E PI N G
As indicated above, if a matter ultimately goes to litigation, the
courts will often be persuaded to allow many, but not all, project documents into evidence. In order to be permitted into
evidence, the party seeking to admit the documents must get
around the fact that the documents themselves generally constitute hearsay and could be precluded on that basis. Hearsay
is a statement (either oral or written) made out of the court that
is offered as evidence to establish the truth of the facts contained in the statement. For instance, an expert’s report regarding an investigation into a roofing problem and the conclusions
of that investigation are hearsay. That report will likely not be
admitted into evidence. However, many documents that are
generated during the construction project, while technically
hearsay as well, will be admitted into evidence under the business records exception to the hearsay rule. While the rules
may vary slightly from state to state, in essence, for a document
to be admitted under this exception to the hearsay rule it must
be shown that (1) the document was made during the regular
course of business; (2) it was the regular course of business to
make such a record; and (3) the record was made when the
act, transaction, or event occurred, or shortly thereafter.
Accordingly, it is essential for architects to establish office
protocol that requires the keeping of certain records for each
and every project, and maintaining them in a timely fashion.
If an architect is inconsistent with the types of records they
keep from project to project, or are not timely making such
records, they run the risk of having certain records excluded
from evidence if litigation does arise. Given that project
documentation is often very beneficial to the architect if a
claim arises, it is well worth the effort to keep proper records.
The office protocol should also include provisions under
which senior personnel review the work of junior associates on
a periodic basis. The experienced architects can assist associates in preparing proper documentation and recognize issues
soon after they arise rather than letting them fester and grow.
C ONTENT OF PR OJ EC T DOC UMENTATI ON
The wording of an architect’s documentation is also critical.
A concise description of the relevant facts, without editorializing, is essential. When problems inevitably arise during the
course of a project, it is very important that the description of
the issues in the contemporaneous documentation do not
hastily come to any conclusions regarding the cause or liability. All too often, given limited facts available at the time that
the incident first arises, architects jump to conclusions in their
daily log or site observation reports as to the cause, sometimes making incriminating comments about themselves, their
firm, or their consultants. Do not jump to hasty conclusions
regarding cause or liability for problems. Frequently, additional facts subsequently come to light after the initial discovery of the problem that shed an entirely different light on the
likely cause or culprit. However, if the architect has admitted
fault in their earlier documentation, it is almost certain that
admission will be used against them at the time of trial.
If a problem arises, the project documentation should
consist of the facts that are known, possibly as well as a listing of potential causes to be investigated further if known at
the time. For instance, if a residential roof starts to leak, the
architect’s documentation should not consist of an entry reading, “The roof now leaks due to my failure to include the
proper flashing,” even if at the time this seems to be the
cause. Instead, an entry should state something along
the lines of, “Roof is apparently leaking. Need to investigate
installation of shingles and review flashing details.” Further
investigation often reveals that the initial determinations of
cause and liability were incorrect, either in whole or in part.
However, a poorly written initial report in which liability is
admitted can be fatal in subsequent litigation.
R EQUIR ED DOC UMENTATION
In order to persuasively present or defend a claim, adequate
documentation will be needed. The goal should be to be able to
re-create exactly what happened on a job, when, and why.
Among the documents suggested for use from the beginning of
a job, before there is any reason to even think about claims, are:
• Diary/daily notebook or site observation reports (if electronic devices are not used).
• Write in ink.
• Use bound or spiral notebooks (they add credibility that
the notes were contemporaneous if a dispute later arises
since one cannot add new pages between existing notes).
(continued)
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to any job. However, the required amount and nature of
other project documentation is not an absolute quantity and
often comes down to common sense, or a gut instinct.
Perhaps one of the best rules of thumb to use when deciding the amount of paperwork to generate is for the architect
to try to put himself in the shoes of the recipient. In generating
paperwork to the client, the owner, the architect wants to
keep the owner informed of all of the significant events of the
project. However, the architect may not want to besiege the
owner with superficial details or small issues that the architect, as the professional that the owner retained to perform
the project, should handle.
Another key consideration in deciding the type and volume of paperwork to generate is that, as the project architect, it is critical that an architect manage the expectations of
the owner and others on the project. The architect should
generate paperwork that enables other parties to understand
his position and what may be expected in the future. Managing expectations goes a long way toward mitigating or eliminating problems on construction projects. Proper
management of expectations can be accomplished in a variety of ways; it is important that the architect finds a style that
works best for him and his firm.
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• Number and/or date pages sequentially (no gaps).
• Keep contemporaneous records: The purpose of the
project diary is to identify and discuss key events on the
project at the time they occur for reference at some time
in the future.
Electronic devices: Establish an office protocol for contemporaneously accumulating in one location all notes taken
in the field.
Photographs/videos.
Correspondence.
Status letters: As part of efforts to manage expectations,
your client should be updated on a regular basis.
“Issue” letters. Flag significant changes or potential problems, because no one likes surprises:
• Confirm issues that can later become subject to debate;
for instance, changes to scope of work or determining
owner’s desires for project (such as owner identifying
on a certain date that he wanted to accomplish X).
• Letter sent to confirm owner’s position can serve to lock
him in said position.
• Letter sent to question owner’s position if contractor or
others (with whom you have no contractual ties) dictate
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certain changes and indicate that owner has represented that it is to be done.
• When writing letters, do not assume that the owner
knows everything or is doing certain tasks. If your
response to the issue or recommended actions are
based on assumptions, let the owner know each and
every assumption in the letter.
Minutes of meetings.
Memos of telephone conversations.
Project scheduling information.
Change order logs.
Shop drawing logs.
Progress payment logs (both from owner and to consultants).
Payroll records.
Equipment use records.
Accounting records/cost reports.
Estimates.
Bids.
Material invoice files.
Claim reports.
BACKGROUNDER
COPYR IG H T L AW FOR ARC HITE CTS
Jo se ph H . Jon es Jr., Es q., AIA
Original creative expression is an intrinsic part of an architect’s professional services. An understanding of copyright
law and how it applies to an architect’s professional service
is an important part of any successful architectural practice.
Joe Jones is a risk management attorney and director of
Schinnerer’s risk management services. He provides risk
management advice to Schinnerer and CNA insureds,
and is a resource on evolving areas of professional liability exposure for both design professionals and contractors
U.S. copyright law protects the creativity captured in the
architect’s instruments of service, such as design and construction drawings, models, and other design representations, as well as the built structure. To protect themselves from
copyright infringement, architects should be familiar with
their rights under the law.
Architects need to understand the intellectual property
rights intrinsic in their professional services. With some clients viewing professional services as a commodity and the
plans, specifications, reports, and other documents that architects produce as products, architects should understand the
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business and liability issues relating to the use, ownership,
and control of their designs and instruments of service.
As clients look for more ways to reduce the costs of
design and construction, many view the “reuse” of designs
as a way to eliminate the need to hire another architect and
save money. Actions like this may put the architect at risk for
professional liability from any problems that develop from
subsequent uses of the same plans. In addition, the architect
may lose fees if the client neglects to acquire the copyright to
a design.
Maintaining the copyright to their designs gives architects a level of control over their creative and professional
endeavors. Clients will have to retain them for future projects,
which may help an individual architect or firm maintain a
steady stream of new business. As well, surrendering copyright could lead to liability problems for the architect if that
issue is not properly addressed in the professional services
agreement.
C OPYR IGH T B AS IC S
Intellectual property rights fall into three main areas: trademarks, including service marks; patents; and copyrights.
Trademarks and patents are registered by the U.S. Patent
and Trademark Office, while copyrights are registered with
the U.S. Copyright Office. Architects appear to have the
W HAT C A N B E C OPY R I GH T E D
In brief, the U.S. Copyright Act protects “original works of
authorship fixed in a tangible medium of expression.” It does
not extend to items such as procedures, processes, and systems, which are typically matters for patent law.
Many instruments of service prepared by the architect
qualify for copyright protection. Article 1 of AIA Document
A201™-2007, General Conditions of the Contract or Construction, defines the architect’s instruments of service as “representations, in any medium of expression now known or
later developed, of the tangible and intangible creative work
performed by the Architect and the Architect’s consultants
under their respective professional services agreements.
Instruments of service may include, without limitation, studies,
surveys, models, sketches, drawings, specifications, and
other similar materials.” The words “other similar materials”
may refer to renderings, reports, photos, models, and videos.
The major requirement for defining such materials as an
instrument of service is the same requirement for qualifying
for protection under U.S. copyright law—they must be works
“fixed in a tangible medium of expression.” Ideas, therefore,
are not instruments of service. To be protected, the “original
work” must have been set down on paper or in some other
tangible form.
U S E OF C OPY R I GH T E D M AT E R I A L
A common misconception is that ownership of a thing is the
same as copyright of that thing. The difference between ownership and copyright can be illustrated by what happens
when you purchase a book, burn it, or give it as a gift, but
you do not own the copyright. Copyright laws give the creator of an original work the exclusive right to reproduce or
display that copyrighted work.
Clients often believe that since they paid the architect
and have a set of drawings in their possession, they own
the copyright to these materials. However, this is not
true. As in the example above, the fact of purchase does
not give the client the copyright to the architect’s instruments of service. For the client to own the copyright, the
architect must assign and transfer ownership of the copyright to the client in a written document. This document
must be signed by the architect or the architect’s duly
authorized agent.
Clients who fail to realize that the architect’s designs
and instruments of service are copyrighted may duplicate a
set of drawings and specifications with the intention of
using them for future projects. This misuse of the architect’s
materials opens the client to a possible copyright infringement claim and may cause liability problems for the architect because the project may not be properly designed for
another site. The requirements of a different set of codes,
the soil-bearing capacity of the site, and other site conditions are just a few of the concerns that make reusing an
original set of drawings and specifications for other projects
highly risky. If, despite these issues, a client desires to reuse
an architect’s design, it is important for the architect to
understand his or her rights as the creator of copyrighted
material.
C ATEGOR IES OF C OPYR IGH T PR OTE CTI ON
Copyright protection covers a variety of ways in which creative works can be expressed. U.S. copyright law identifies
these within the following categories:
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Literary works
Musical works
Dramatic works
Pantomimes and choreographic works
Motion pictures and other audiovisual works
Sound recordings
Pictorial, graphic, and sculptural works
Architectural works
The architectural works category is an obvious choice for
protection of designs and instruments of service produced by
architects, but the pictorial, graphic, and sculptural works
category also affords architects some protection. These types
of work, also termed “visual works,” include two-dimensional
and three-dimensional works of fine, graphic, and applied
art. Examples include technical drawings, architectural plans,
diagrams, and models.
In 1990 the Architectural Works Copyright Protection Act
(AWCPA) became effective. Prior to that, only instruments of
service identified as “pictorial and graphic” works were protected under the Copyright Act. The AWCPA specifically
added “architectural works” as a protected category of original expression. An architectural work is defined as “the
design of a building as embodied in any tangible medium of
expression, including a building, architectural plans or drawings. The work includes the overall form as well as the
arrangement and composition of spaces and elements in the
design, but does not include individual standard features.”
(continued)
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greatest exposure to copyright issues, which are the focus of
this discussion.
According to statistics from the CNA/Schinnerer
design professional liability program, 44 percent of intellectual property claims against architects and engineers
from 2002 to 2011 involved allegations of copyright
infringement. Of those claims, 66 percent involved architects and 55 percent involved residential projects. Interestingly, these statistics show that design professionals
brought more than 57 percent of all claims for copyright
violation.
It is a common misconception that copyright is a subject
of interest only to the creators of copyrighted material. Both
users and creators of copyrighted material must understand
the limits of copyright protection as well as what constitutes
fair use of copyrighted material.
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The AWCPA does not define “building.” However, U.S.
Copyright Office Information Circular 41, “Copyright Claims
in Architectural Work” (available at www.copyright.gov),
states that the AWCPA protects “structures that are habitable
by humans and intended to be both permanent and stationary, such as houses and office buildings and other permanent
and stationary structures designed for human occupancy,
including but not limited to churches, museums, gazebos,
and garden pavilions.” Equally important are the items the
AWCPA does not protect. Among these are “structures other
than buildings, such as bridges, cloverleafs, dams, walkways, tents, recreational vehicles, mobile homes and boats.”
Although the AWCPA does not define “building,” several
courts have attempted to interpret the provisions of the act. In
Yankee Candle Company, Inc. v. New England Candle Company, Inc., 14 F.Supp.2d 154, the plaintiff, holder of a copyright and trademark on the design of a colonial-style candle
store, sued a competitor for copyright infringement after the
competitor opened a retail store in a mall that the plaintiff
claimed was substantially similar to the design of its own
retail store. The court had difficulty concluding that a “room”
within a retail mall fit the definition of a “building” within the
meaning of the AWCPA. The court noted that to hold that a
mall store constituted a “building” would distort the plain
meaning of the term, and “surely Congress did not intend for
individual offices in an office building, though elaborately
designed, to qualify as ‘buildings’ themselves.”
In another case, a court ruled that buildings had to be
built after AWCPA went into effect to be protected under the
act. In Richard J. Zitz, Inc. v. Dos Santos Pereira, 232 F.3d
290, an architecture firm brought a copyright infringement
action against builders of a townhouse it alleged infringed on
its copyright. The court first noted that for an architectural
work to qualify for protection under the AWCPA, the subject
of the infringement must have been constructed or otherwise
published after December 1, 1990. The court rejected the
plaintiff’s argument that “constructed” means “finished,” or at
least finished to the point of being habitable. Since the plaintiff’s townhouse was not finished until after December 1,
1990, the plaintiff argued its design was eligible for protection under the AWCPA. The defendant argued that “constructed” means “substantially constructed,” and that
therefore the plaintiff’s townhouse was not eligible for protection under the AWCPA. In agreeing with the defendant and
the lower court, the appellate court held that “an architectural
work that was substantially constructed as of December 1,
1990, is ineligible for copyright protection under the
AWCPA.”
The AWCPA does not prohibit protection of an architect’s
drawings under the “pictorial and graphic” category, and in
some circumstances protection under this category may be
broader. Some attorneys who have used this approach
believe the plaintiff generally has to prove only that the defendant had access to the instruments of service and that substantial similarity exists between the original and the alleged
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copy. Since the AWCPA is meant to protect the “design,” and
exceptions have been made for “unprotected elements,”
proving copyright infringement under the architectural works
category may be more challenging.
C OPYR IGH T INF R INGEMENT
The question is often asked, “How much copying is copying?
50 percent? 75 percent? 90 percent?” Unfortunately, the
answer is not that simple. Certain elements are required for
a claim of copyright infringement to be successful. A plaintiff
must prove ownership of a valid copyright and an infringement (copying) of the protected work.
Registration with the U.S. Copyright Office is not required
for a copyright to be valid, although it is prima facie evidence of such copyright, which shifts the burden to prove
invalidity to the defendant. Registration is required before a
claim of copyright infringement can be filed, however, and
can be a factor in the award of damages and attorneys’ fees.
More in-depth information on the requirements for registration, length of protection for copyrighted works, and damages available for copyright infringement can be found in
information circulars available from the U.S. Copyright
Office website at www.copyright.gov. Because this is a specialized area of law, consultation with an attorney who
understands intellectual property law is advisable.
Ownership of a copyright is vested with the creator of
the work, except in the case of “works made for hire.”
Under U.S. copyright law, “works made for hire include
work prepared by an employee in the scope of employment,” as well as works “specially ordered or commissioned.” Architectural works, however, are generally not
considered “works made for hire” unless the agreement
between the parties explicitly states so. Article 7 of AIA
Document B101-2007 explicitly states, “The Architect and
the Architect’s consultants shall be deemed the authors and
owners of their respective instruments of Service, including
the Drawings and Specifications, and shall retain all common law, statutory and other reserved rights, including
copyrights.” The duration of a copyright depends on several
factors, including whether the creator is an individual or
corporation or the work was produced in a work-for-hire
arrangement. The general rule is that a copyright lasts for
the life of the author plus 70 years.
As previously noted, proof that the defendant had access
to the copyrighted work is another required element of a
copyright infringement claim. Generally, this is not difficult to
prove. All that is required is evidence that the protected
expression, such as a set of plans, was published or otherwise in the public domain where the defendant could have
seen it. On the other hand, if only one set of plans was created and this was never published, proof of access is more
difficult.
Once ownership of a valid copyright has been established
and access has been demonstrated, the next step in an infringement claim requires proof that portions of a copyrighted
C O P YRI GH T L I C E N SE A N D T R A N S F ER IS S UES
The discussion in this section on copyright license and transfer issues and license termination assumes the parties will use
AIA Document B101–2007 as their agreement for professional services. For architects who may use their own professional services agreement or one offered by their client, the
B101–2007 can serve as a model for addressing these
issues contractually.
Although architects hold the copyright to their instruments
of service, the reality is that the client, contractor, and other
parties will need to access and use the architect’s instruments
of service for a particular project. To address this issue, the
AIA has created in B101–2007 a series of licenses for those
who will need to use the architect’s instruments of service to
construct and use the project.
The proper use of licenses is key to maintaining the
architect’s copyright and at the same time meeting the owner’s needs—most often, the need to use the instruments of
service for the construction, use, and maintenance of a project. In paragraph 7.3 of the B101, the architect grants the
owner “a nonexclusive license to use the Architect’s Instruments of Service solely and exclusively for purposes of constructing, using, maintaining, altering and adding to the
Project, provided that the Owner shall comply with all obligations, including prompt payment of all sums when due,
under this Agreement.” It is important to remember that the
license is contingent upon the owner meeting its obligations
under the agreement. The same paragraph also requires
the architect to “obtain similar nonexclusive licenses from
the Architect’s consultants consistent with this Agreement.”
This is necessary because architects can only grant a
license for their own copyrighted materials. Architects have
no copyright or control over the instruments of service of
consultants such as structural and MEP engineers; these
consultants have to grant their own licenses. Finally, paragraph 7.3 permits the owner to authorize contractors, subcontractors, and material suppliers to reproduce applicable
portions of the architect’s instruments of service for their use
in connection with construction activities. The license
granted in paragraph 1.3.2.2 thus effectively meets the client’s and contractor’s needs while maintaining the
architect’s copyright.
The B101–2007, however, does limit the license granted
to the client. Paragraph 7.4 prohibits the client from transferring, assigning, or granting the license to another party without the written permission of the architect. Should the client
choose to reuse the instruments of service without retaining
the architect or the architect’s consultant, paragraph 7.3.1
requires the client to release and indemnify the architect and
the architect’s consultant from all claims arising from such
use.
A license is one way to meet the needs of the owner
and other parties to have access to and use of the architect’s instruments of service. Transferring the copyright to
another entity for a fee is also an option. However, certain
issues that stem from this option should be carefully considered. First, what is the proper fee for such a transfer? In
calculating such a fee, the architect should account for
both the cost of producing the instruments of service and
the loss of potential profits, because the entity holding the
copyright will not have to retain the architect for future
services.
C OPYR IGH T LIC ENS E TER MINATION
As stated above, AIA Document B101–2007 grants the
owner a limited license to reproduce instruments of service
solely for purposes of construction, operation, and additions
to a project. The document also states that a termination of
the design contract due to the owner’s default automatically
terminates the owner’s license and thus the owner’s permission to use those instruments to complete the project. If the
owner terminates the contract for its convenience, or the
architect terminates the contract due to the owner’s suspension of the project, and the owner later resumes the project
with another architect, paragraph 11.9.1 allows the initial
architect to receive compensation for the owner’s use of the
instruments of service solely to complete, use, and maintain
the project.
C OPYR IGH T TR ANS F ER
Through a contract, a copyright license to use the design
documents can be granted or the copyright can be transferred
to another party. However, it is important to note that such
licenses and transfers do not completely absolve the architect
from all liability of the professional services provided, even if
such liabilities are expressly transferred in the contract.
(continued)
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work have been copied. In Sturdza v. United Arab Emirates,
281 F.3d 1287, a case involving allegations of infringement
of an architectural design, the court concluded that to prove
infringement the plaintiff must show that the defendant’s work
is “substantially similar” to protected elements of the plaintiff’s work.
The court noted that proof of substantial similarity
requires identification of aspects of the author’s work, if
any, that are protected and identification of the infringing
elements that are “substantially similar” to the protected
work. According to the court, “substantial similarity” exists
when “the accused work is so similar to the plaintiff’s work
that an ordinary reasonable person would conclude
that the defendant unlawfully appropriated the plaintiff’s
protectable expression by taking material of substance
and value.” The Sturdza court took this precedent further,
noting that substantial similarity requires a comparison of
both individual elements of the two works in isolation and
the “overall look and feel” of the work, even if the individual elements do not qualify for individual copyright
protection.
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In most states, courts have held that it is against public policy
to contractually allow one party to transfer all its liability to
another party. Therefore, in most jurisdictions, architects will
not be allowed to transfer all risk of professional liability.
Architects will be held responsible for their negligence based
on the original professional services provided, regardless of
who holds a license or to whom the copyright has been transferred.
If an architect chooses to transfer their copyrights, language similar to paragraph 7.3.1 of AIA B101-2007 should
be included and effective the date of the transfer. This will not
prevent future claims from third parties based on the original
unmodified design, but does contractually require the party
that has assumed the obligation and benefit of the transfer of
copyright to also assume any liability that may flow from
modification or unanticipated use of the design after the date
of transfer.
AVO I D I NG C OPY R I GH T I N F R I N GEMEN T
Once architects understand the basics for protecting their
copyright in their designs and instruments of service, they
should consider the question of copyright from the other
point of view: How does an architect manage the risk of
infringing upon the protected work of another architect or
design professional? A simple answer is, “do not copy
someone else’s copyrighted material.” Unfortunately, a
more realistic answer is not that simple. Architects often
look to other creative works for inspiration or ideas about
solving a particular problem, making the “perception of
copying” a common issue in architectural services. Architects can take some steps, however, to minimize the risk of
having to defend against a copyright infringement claim.
In most cases, these suggestions are easily applied to
“expressions” protected as “visual works” or “architectural
works.”
Maintain Copyright
Increasingly, clients are asking architects to transfer ownership of the copyright in their design. Architects need to realize that once they have transferred copyright to a client or
any other party, that party has acquired all the rights of the
copyright holder, including the exclusive right to reproduce
the architect’s original expression embodied in the design or
instruments of service. In short, if an architect creates an
original design, transfers the copyright for it to the client, then
uses the same or similar design on a subsequent project, the
architect has made it possible for the client to file a copyright
infringement claim.
Read Agreements Carefully
Although the creator of an original work owns the copyright in that work from the moment of creation, copyright
can be transferred to other parties unintentionally. Architects should carefully read their agreements with clients,
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looking for provisions stating that the services they provide
are works made for hire or that the architect assigns all
rights in the instruments of service to the client. Services
provided as works for hire automatically grant copyright to
the entity engaging the architect’s services. If a client insists
on a work-for-hire agreement, the architect should request
an indemnity agreement for all claims that may arise from
use of the instruments of service without the architect’s
involvement.
Project owners may require in the professional services
agreement that the architect warrant that it has not infringed
on another party’s copyrights. In addition to the warranty
requirement, project owners may also require the architect to
defend and indemnify them should a claim be made against
them alleging copyright infringement. Warranties and
defense obligations are excluded under professional liability
policies, as are indemnity obligations beyond allegation of
negligence. However, this is a risk that can be managed by
obtaining proper licenses from other parties if copyrighted
material is used in the design.
Obtain Proof of Copyright Release or
an Existing License
Architects are often asked to provide services based on
another architect’s efforts or to complete the services of
another architect. In such instances, the “new” architect
should request proof in writing from the client that the first
architect has transferred copyright to the client or that the
client has been granted a license to use the instruments of
service. Proof of copyright release or an existing license can
reduce the likelihood of claims of copyright infringement from
other architects.
Use the Copyright Notice and Register
Your Material
Although use of the copyright notice is no longer required
under U.S. copyright law for drawings to be protected, placing the notice on the architect’s instruments of service offers
some protection by warning that the materials are copyrighted and discouraging copyright infringers from claiming
they were unaware of that fact. To protect a work further,
however, registration of the copyright with the U.S. Copyright
Office is highly recommended. Most important, registration
is required before an infringement claim can be filed. In addition, remedies such as attorneys’ fees and statutory damages
are available for protected works properly registered before
an infringement occurs.
Avoid “Substantial Similarity”
As the court stated in Sturdza, infringement occurs when the
defendant’s work is “substantially similar” to protected elements of the plaintiff’s work—that is, when an ordinary and
reasonable person would conclude the defendant had appropriated the plaintiff’s original expression. If an architect sets
5.2
architects may want to download the following
circulars:
Circular 1: Copyright Basics
Circular 9: Work-Made-for-Hire Under the 1976
Copyright Act
Circular 40: Copyright Registration for Works of the
Visual Arts
Circular 41: Copyright Claims in Architectural Works
For More Information
Architect and Engineer Liability: Claims Against Design
Professionals, 3rd edition (Aspen, 2006), edited by Kevin R.
Sido.
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out to make a project look like that of another, a reasonable
person would likely believe the architect copied the other
work and therefore would hold the architect responsible for
copyright infringement. Architects should also remember that
substantial similarity requires not only comparison of the individual elements of the two works, but also of the “overall look
and feel” of those works.
The best way to manage the risks of a copyright
infringement claim is for architects and their legal counsel
to gain knowledge and understanding of the U.S. Copyright Act. Consultation with an intellectual property attorney is strongly recommended. However, it is a good idea
to familiarize yourself with the information on the
U.S. Copyright website (www.copyright.gov). In particular,
Entrepreneurial Practice: Starting an
Architecture Firm
Derrick Choi, AIA, LEED AP, and Rena M. Klein, FAIA
Twenty-first-century practice requires architects to adopt an entrepreneurial
approach dependent on risk-tolerance, self-awareness, and comfort with
unpredictability. Starting a firm gives architect’s opportunity to leverage talent
and drive to create a work-life that is both personally satisfying and financially
rewarding.
T
he Great Recession that began in 2008 has had significant impact on the American
design and construction industry. Along with the new tools of twenty-first-century
technology, the changing economy is creating irreversible industry transformation. While entrepreneurship has always been part of architectural practice, changes to
the business environment have created a new normal, wherein entrepreneurial traits—
business acumen, nimbleness, risk-taking, and the capacity to assess opportunities—are
increasingly essential for success as an individual professional and as a design firm.
The Freelancer’s Union of New York City estimates that nearly one-third of Americans are self-employed, adding up to almost 42 million people. As an advocate and
insurance provider for the self-employed, the Freelancer’s Union sees entrepreneurial
individuals as the true engine of economic growth in the United States. They dub the
new normal “the gig economy.”
For architects, engaging in the entrepreneurial economy is not new. The 2012 AIA
Survey found that 81 percent of architectural firms have fewer than five members, and
that these firms employ over one-quarter of all architectural staff. The design and
Derrick K. Y. Choi is principal of XChange Architects. Founded in 2008, his Boston-based
practice is committed to addressing architectural and urban design challenges in the public
realm.
Rena M. Klein is principal of RM Klein Consulting, author of The Architect’s Guide to Small
Firm Management (Wiley, 2010), and executive editor of the AIA Architect’s Handbook of
Professional Practice, 15th edition (Wiley, 2013).
5.2 Entrepreneurial Practice: Starting an Architecture Firm
185
▶ For more on the findings of the
2012 AIA Firm Survey, see
Demographics of Practice: 2012
AIA Firm Survey (2.2) and
Navigating Economic Cycles
(7.1).
construction industry has been aptly described by Barbara Golter Heller as an
“immense aggregation of cottage industries” (DesignIntelligence, Greenway Group,
2009). That the industry is still, for the most part, local and diverse in scale creates a
myriad of opportunities for entrepreneurial activities. The preponderance of very small
firms and self-employed architects is in itself proof that a financially successful and
personally satisfying career is possible through starting a firm.
The ability of start-up and small firms to succeed in the new economy has increased
owing to a number of factors that enable expanded capacity and reach. These are:
Infrastructure, Collaboration, and Global Practice.
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▶ Small Firms, Small Projects,
and Building Information
Modeling (11.3) discusses the
benefits, challenges, and best
practices of BIM in smaller
architecture practices.
▶ Small Firm Collaboration (5.7)
discusses various collaborative
models and the keys to successful
collaboration among small
architecture firms.
▶ For related information about
this project delivery method, see
Architect-Led Design-Build (9.5)
and the accompanying
backgrounder, Architect-Led
Design-Build and Architect as CM
for Small Firms and Small
Projects.
▶ Practicing in a Global Market
(5.8) addresses international
design opportunities and the
related methodologies and rules
of engagement.
Infrastructure: Technology is enabling architects who start their own firms to
expand their capacity and the possible types of engagements. The choice to leave a
larger firm and go out on one’s own does not necessarily mean giving up large
projects or participation on the teams that execute them. And working with larger
projects or firms does not necessarily require a big operating budget. The evolution
of file-sharing technologies, building information modeling (BIM), multiplatform
collaboration, and online project communications and management tools have
enabled small and start-up practices to quickly develop offices that are cost-effective, flexible, and scalable.
Collaboration: New firms can serve as expert consultants, contract production staff,
or valued collaborators. Founders of start-up firms have the opportunity to
thoughtfully assess their skills, strengths, and areas of interest to determine project
opportunities that are a good fit. Depending on the nature of the project team
arrangement, firms can often take on discrete tasks or serve in a support role, demonstrating value and expertise.
New firms also have the option of expanding their services to include the construction phase through ongoing collaboration with contractors. For instance, if the
founder has the interest and aptitude, incorporating Construction Management
into a practice, either as Adviser or as Constructor, is a possibility to expand one’s
scope beyond the design phase of the project. Architect-Led Design-Build offers
the possibility of influence and revenue (commensurate with the additional risk)
beyond the design phase of the project.
Global Practice: Advances in production technologies and telecommunications
have greatly improved access to the global design market for firms of all scales.
With the appropriate roles and responsibilities, it is possible for a variety of practices to work and compete successfully in the global marketplace. Smaller firms, or
those in a start-up mode, with an appetite for international work may want to
consider entering the international marketplace as a designer (perhaps in collaboration with a local associate firm), or in a consulting or support role.
X CH ANG E ARC HIT EC T S
In 2008, Derrick Choi, AIA, was presented with a rare
opportunity–an unsolicited offer by a former client in the
Middle East to serve as a design and planning consultant for
a quarter-million square foot airport expansion. Accepting
this project, Choi founded his practice, XChange Architects
LLC, in July 2008, not fully cognizant of the Great Recession
on the horizon.
Choi began his firm with a wide range of experiences in
office management, marketing, design and planning, and
construction contract administration from a decade of
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Organizational Development
experience working in large firms on complex public projects. He quickly developed a firm that leveraged his accrued
knowledge and problem-solving processes developed across
various building typologies within the public realm.
While working on infrastructure projects with a national
AE firm, he enjoyed the benefits of collaborating closely with
people who possessed varied skill sets, experiences, and
connections. In his new firm, Choi actively sought to replicate
the same collaborative relationships with many of these contractors, consultants, and former colleagues. He pursued this
•
•
•
•
•
•
•
•
•
•
•
Code and permitting consultant
Construction administration staff
Executive architect
Master plan consultant
Peer reviewer/quality control consultant
Programmer
Project design staff
Project management team member
Sustainability and LEED certification consultant
Visualization/rendering consultant
Urban designer
Leveraging Choi’s access to aviation client contacts, the
firm’s initial consulting assignments were international ones—
including being a sustainability coordinator for Schiphol
International Airport in Amsterdam and a terminal designer
and planner in Abu Dhabi International Airport in the United
Arab Emirates. Serving in a consultant role helped to build
the firm’s portfolio quickly, providing a reliable revenue
stream in the critical start-up phase, and exposing the firm’s
staff to project types that were aligned with XChange Architects’ mission to work on projects in the public realm.
For Choi, consulting on larger projects and working with
others also helped to alleviate many of the initial requirements of building a practice. Serving as a consultant to a
larger design and planning firm, Choi could tap into the
larger firm’s global resources for immediate infrastructural
support. The ability to have access to facilities and production support significantly reduced the start-up time and costs
for XChange Architects.
Collaboration in larger projects does not necessarily
mean giving up complete control. In the case of XChange
Architects, proving to be a reliable collaborator, with a deep
commitment to providing high quality work products and
results, was essential to gaining the trust of fellow collaborators. Striving to be a reliable collaborator at the outset of
starting a new firm was also instrumental in gaining good will
leading to follow-on work opportunities. Previous good results
and good relationships led to more influence over the course
of projects. The experience of gaining trust and being
afforded room to innovate as a consultant led Choi to similarly offer his project staff and subconsultants more latitude in
assignments where XChange Architects was prime.
While in 2012 the transition from consultant to prime
contractor was not complete, XChange Architects has been
able to capitalize on its firm experience working as a consultant on multiple public projects—libraries, schools, community facilities, and airports—and is now the prime
contractor on several new Massachusetts public projects,
including a new airport terminal and an urban design and
planning project.
D E SI GN F I RM BUSIN ESS MOD E LS
When starting a firm, being intentional and strategic about a business model may be
challenging. Nevertheless, understanding the options and proceeding with self-awareness is essential. The material in this section was sourced from The Architect’s Guide to
Small Firm Practice (Wiley 2010), by Rena M. Klein, FAIA.
In general, a business model is a plan that articulates what business is being conducted and how the business will generate income. Renowned consultant David Maister, author of many books on management of professional service firms, has identified
three business models that are common in organizations that offer professional services: efficiency-, experience-, and expertise-based. Each of these business models can
yield growth and profitability, assuming that they are operated appropriately.
Efficiency-Based Firms
Efficiency-based firms are focused on fast and less-expensive project delivery. These
firms often specialize in one project type or a narrow range of services and tend to serve
clients that are looking for standard solutions and quick turnaround. For example, a
small architectural firm that serves residential developers might operate effectively
within this “efficiency” model (see Figure 5.1.).
5.2 Entrepreneurial Practice: Starting an Architecture Firm
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course for two reasons—first, the working relationships and
trust built over the years were critical to project success; and,
second, the access provided by former collaborators in the
public realm work was invaluable.
In the first two years of XChange Architects’ existence,
Choi didn’t have the requisite completed projects in the firm’s
portfolio to competitively seek out opportunities on his own.
He determined that it was more time-efficient and costeffective to assemble a project portfolio by serving in a subconsultant role to his former business partners, consultants,
and colleagues on projects that aligned with his firm’s mission. Consequently, his firm’s first two years of billings
required Choi to be a flexible, competent collaborator,
assuming myriad project roles on institutional and public
projects, including:
Efficiency
• Profitability depends on standard production processes & repeatable
project elements
• More routine work, more junior staff
Partners/Principals
Project managers/Project
architects
Interns/Drafters
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Wide staffing triangle
The Architect’s Guide to Small Firm Management (Wiley, 2010)
FIGURE 5.1 Efficiency-based Firms Rely on Repeatable Processes.
Because efficiency-based firms do projects with a significant amount of routine
work, founders may be able to hire a less experienced person for production assistance
as soon as workload permits. This will help to keep production costs down, while freeing the founder to acquire more work. Routine work may also lend itself to having a
remote virtual workforce or to subcontracting production work. With repeatable elements and standard processes, project delivery can be streamlined. Profitability is
dependent on volume and productivity and is relatively easy to obtain once systems are
in place. Sustainable success in these firms requires continuous improvement of work
processes and staying current with technology and trends.
Experience-Based Firms
When asked, most small firm leaders will describe their firms as operating within the
second business model—experienced-based—and most are correct in their assessment,
to a greater or lesser extent. In contrast with efficiencybased firms that have deep experience but engage in rouD E S IG N FIRM B USIN ESS M OD E LS
tine projects, true experience-based firms are proficient at
E F F I C I E NC Y
solving non-routine and complex design problems. While
their experience may be in a certain project type, such as
• We can do it better, faster, cheaper.
public schools or museums, their core competency is the
• We do projects that are not complex and have many
ability to successfully organize and deliver significant and
repeatable elements.
complicated projects. Many successful experience-based
• We employ the latest production technology and
firms find they are able to apply their accrued knowledge
continuously improve production processes.
to a diversity of project types, a strategy that can help
E X P E R I E NC E D
weather economic downturns in individual market sectors.
(See Figure 5.2.)
• We know what we are doing.
• We can do unique complex projects by applying our
Starting an experience-based firm requires a founder
accrued knowledge.
to have knowledge and experience in solving complex
• We leverage relationships to acquire projects and
design problems and serving on teams that regularly execollaborate to deliver them.
cute significant projects. The initial management challenge for this type of firm is to match the project task to
E X P E RT I SE
the “pay-grade.” Much of a design fee can be spent when
• We have special knowledge or talent.
the founder performs work that could be done by
• We serve as expert consultants or are design stars.
someone with a lower salary. For solo practitioners who
• We continually work to innovate and to create and
have meaningful experience in complex projects, a first
acquire new knowledge.
hire might be administrative support, rather than production help. This will free the founder to do more billable
Excerpted from Architect’s Guide to Small Firm
work and nurture relationships that will lead to more
Management, Klein, 2010
opportunities.
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Organizational Development
Experienced
• Profitability depends on well managed projects and skillful
use of staff resources
• Mixture of tasks and staffing levels
Partners/Principals
Project managers/Project
architects
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Interns/Drafters
Balanced staffing sriangle
The Architect’s Guide to Small Firm Management (Wiley, 2010)
FIGURE 5.2 Experience-based firms Rely on Applying Accrued
Knowledge.
Once the workload of a start-up firm grows, hiring a skilled and experienced architect to assist the founder, as opposed to an intern, may be the best practice. This person
should be able to manage projects and provide reliable assistance to the founder in
delivering complex projects. Virtual collaboration with other experienced collaborators
as subconsultants or joint venture partners is also an excellent strategy for project
delivery in start-up experience-based firms. Sustainability for experience-based firms
is enhanced when they are adept at creating and acquiring new knowledge from doing
projects that can be applied to future commissions.
Exper tise-Based Firms
Expertise-based firms have service offerings that rest upon deep knowledge and/or
exceptional talent. (See Figure 5.3.) These firms include those headed by
Expertise
• Profitability depends on high fees for
expert or unique service
• More non-routine work and senior staff
Partners/Principals
Project managers/Project
architects
Interns/Drafters
Narrow staffing triangle
The Architect’s Guide to Small Firm Management (Wiley, 2010)
FIGURE 5.3 Expertise-based Firms Rely on Deep
Knowledge or Unique Talent.
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“starchitects,” with their unique style and abilities, or, more commonly, specialists in
a narrow band of professional knowledge such as acoustical design or commercial
kitchen design.
For founders who have deep knowledge or unique talent, an expertise-based firm
may allow a financially successful one-person firm to be established and sustained.
Administrative help is advisable to free the principal to complete billable work. However, the straightforward nature of this kind of practice might keep administrative
demands to a minimum, allowing the principals to do it themselves. Since most of the
work is non-routine, few, if any, middle-level and junior staff are needed to complete
the work. More commonly, expert practitioners will partner with experts in their
related field to offer a broader range of services. Many also connect with academic
institutions that allow expert practitioners the opportunity to teach and facilitate
research activities that forward knowledge creation. One- or two-person firms can be
very successful using this model since profitability often depends on high hourly rates
for services.
Any Project That Comes Through the Door:
Oppor tunistic vs. Strategic
Most design firms will start in an opportunistic manner—a project is offered that
allows an architect’s initiative, talent, and training to be exercised and showcased.
Whether making the leap from employment by others to being self-employed, or starting a firm because no other option is available, since design services are project-based,
having a project to do is usually a prerequisite to starting a firm. This may make the
discussion of choosing a business model academic, as the kind of firm being established
may be dependent on the job opportunities present in the marketplace. Given this
reality—an environment where it appears that all opportunities must be explored and
accepted—how is it possible to be strategic?
The answer to this question is simple. All opportunities need to be explored, but
not all opportunities must be accepted. The interests, skills, and aspirations of the
founder must be considered at firm start-up in order to set a course toward both personal satisfaction and financial success.
Nevertheless, accepting any project that comes along can lead to a strong generalist practice and can be a strategic choice in itself. Generalist practices may be particularly successful for firms established in smaller communities, where the work available
is likely to be varied in building type and scale. These firms prosper from the broad
generalized knowledge they have acquired and can become stable and well-rounded.
The downside of this strategy for many practitioners and start-ups is that it may limit
the depth of professional knowledge acquired over time, leading to fewer opportunities
for complex projects. Firms that accept “any project that comes through the door” can
become unfocused and spread too thin.
Naturally, the core competencies, personal connections, and interests of firm leaders will attract certain clients and projects even if there is no intentionality. At some
point in the firm’s life, especially if firm growth is a goal, a more intentional approach
to the firm’s business model will be required. Figure 5.4 illustrates how the business
models are formed by the interrelationship between a firm’s level of specialization and
its ability to deliver complex projects.
Once a firm’s business model is understood, firm growth or sustainable stability as
a solo practitioner or small firm becomes more possible.
START- U P BU S I N E S S P LA N N I N G
Legal Requirements
There are several choices for a firm’s legal structure regardless of whether a firm is
founded by a single individual, a two-person partnership, or a group of owners.
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Organizational Development
GENERALIST
Expertise-based
Experience-based
specialist
complex projects
generalist
complex projects
Efficiency-based
Any project
that comes
through the door
specialist
routine projects
generalist, complex
projects
COMPLEX
PROJECTS
ROUTINE
PROJECTS
The Architect’s Guide to Small Firm Management (Wiley, 2010)
FIGURE 5.4 Business Models for Design Firms Relate to the Level of
Project Complexity and Specialized Knowledge Required.
According to the 2012 AIA Firm Survey, 28 percent of all firms were formed as S
corporations, making this the most common legal structure among all firms in 2011.
This exceeded the percentage of firms formed as sole proprietorships (20 percent).
Setting up as a partnership of two or more requires additional considerations besides
the legal structure of the firm. It is important to consider the makeup of agreements
between those entering a partnership.
▶ See the backgrounder
accompanying this article, Firm
Legal Structures, regarding the
key factors to consider in
choosing or modifying an
architecture firm’s legal structure.
PART NER AND SHAREHOL D E R A G RE E M E N TS
Fresh beginnings are exciting. The potential for success can
seem a certainty for an enthusiastic new firm starting out.
Principals with diverse backgrounds and talents can join
forces to create a greater whole, but partners are distinct
people who bring their own strengths and weaknesses to a
firm. As hard as this can be to envision at the beginning of
the new firm, disagreements among partners can ruin a
business. In five or ten years, one partner can forget how
important the talents of another were to starting a new
business, and focus instead on something less positive.
A contract between partners can seem unnecessary
when things are going smoothly, but will be a necessity when
rough spots arise. Avoiding some conflicts is possible with a
partnership agreement that specifies the following:
• Names of all partners, their legal relationships, and
their ownership percentage. Some things that help
decide who owns how much of a business include who
initiated it, who brings the strongest reputation or
expertise, who made financial contributions for start-up,
and who does what work.
• How compensation and financial earnings are to be
calculated and distributed among partners (or owners,
if a corporation).
• Financial responsibilities. How will expenses be divided
and paid? Who has the right to financially indebt the
firm and its principals?
• Decision making and the organizational hierarchy.
Determine from the beginning who is in charge and of
what. When a partner has a certain skill set or
specialized knowledge, responsibility for decisions in
those areas can be assigned accordingly.
• Credit for work. Architecture is a creative endeavor.
Decide whose name will appear first and any
circumstances that might change the order.
• Dispute resolution. If a disagreement does arise,
everyone will know in advance whether it will be
resolved through earnest discussions, arbitration,
mediation, or a court of law.
• What happens when a partner is sick for an extensive
period, becomes disabled, or dies.
• How a partner can leave and divest his or her interest
to the remaining partners.
• The procedure for bringing in new shareholders.
Reprinted from the AIA Handbook 14th edition, “Starting an
Architectural Firm,” Moreno.
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SPECIALIST
Financial Setup
▶ Chapter 7, Financial
Management, further discusses
financial terms and financial
management systems for the
architecture firm.
Financial planning is a vital part of getting ready to open a new firm. Key tasks in the
financial setup of a firm may include the following:
•
•
•
•
Selecting and setting up an accounting system
Establishing tax identification and filing status based on legal structure
Establishing a business bank account
Engaging trusted professional advisers, including an accountant and attorney, if
needed, to help set up legal structure or agreements
• Acquiring start-up funding from outside sources, if necessary
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Logistics
Facilities
Since home offices keep overhead low and are eligible for tax deductions, their inherent
cost-effectiveness and flexibility is a natural fit for many solo practitioners and startups. While individual work settings can be increasingly remote, singularly efficient, and
still be fully “connected,” many find working alone day after day to be unsatisfying.
Firm founders who have recently left a larger firm may miss the collegial company of
others during the workday. In addition, the continuing need for face-to-face meetings
as part of the project acquisition and delivery process requires most practitioners to
have access to conference rooms and meeting spaces.
As founders contemplate the leap from the home office, or options to augment and
mitigate its limitations, a number of flexible space arrangements are available for consideration:
Rental Office Spaces or “Executive” Suites: The predominant typology of emerging office arrangements, these are fully furnished, rentable office spaces for hourly,
daily, or monthly rental. Office rental arrangements of this type commonly provide
offerings beyond the rental of physical workstations, including social/meeting/
conference spaces, high-speed Internet bandwidth and connectivity, and telephone and
receptionist service, as well as mail handling. However, the typical production necessities of an architect, such as large-scale plotting and scanning, are usually not readily
available in executive suites, and there are generally no spaces or accommodations for
equipment storage or services like model-making or photography.
Those with a consistent need for meeting space may benefit the most from this
kind of arrangement. Sole practitioners, specialty design consultants, and others not
providing a full range of architectural services may also find these arrangements beneficial. Since rental costs are typically on a per-use basis, this arrangement can be cost
effective.
Virtual Offices: This office arrangement offers users a professional ambience and
permanent telephone number with answering services, and in some cases mail handling, while reducing the overhead costs of a traditional office.
As this is not a physical space rental, this amenity is particularly attractive to firms
without a dedicated or permanent office space that would benefit from having fixed
contact information for calls and mailings. This can provide stability for client correspondences regardless of where the practitioners are. For firms just starting out as well
as those exploring multiple temporary or satellite locations, there may be considerable
benefits to having a fixed office address and virtual phone line system.
When using an office address located in a state where an architect is not licensed,
practitioners should check with the state’s Architectural Licensing Board for relevant
requirements or regulations.
Coworking Spaces: A work space shared with other professionals, within or outside
the design disciplines, is a popular office concept. Unlike executive suites, these workplaces are set up to foster interaction between users. Sole practitioners seeking potential synergies and collaboration with other like-minded industry colleagues, or simply
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seeking to simulate the congeniality of the office environment, may benefit the most
from this space arrangement. Rental costs are typically on a per-use to monthly basis,
and can be cost effective with some limitations on the type of work done there. Similar
to the rental offices/executive suites, most coworking spaces are generally “plug-andplay,” and any equipment storage (e.g., laptops) is typically offered to monthly subscribers. As such, these types of workspaces can be less convenient on a per-use basis.
In many cities, design-focused coworking facilities have been established, such as
the Design Annex located in Somerville, Massachusetts. The Design Annex offer amenities that cater to a design office culture, specifically, architecture, graphic design, and
web design. In the Design Annex, a dedicated model-making facility encourages a
robust range of creative design work.
Some coworking spaces participate in global reciprocity programs that allow their
members to use other spaces in the United States and abroad. Under the Co-working
Visa Program, the Design Annex allows active members of one space to use other
coworking spaces around the world for free for a set number of days.
Shared Office: Subletting office space from an established firm or sharing permanent office space with a number of other sole practitioners is the most conventional of
the flexible office arrangements. For the leaseholder, there are some obvious benefits
such as sharing overhead (e.g., rent/mortgage, utilities, Internet service, printers, paper,
and ink, etc.) as well as having tenants who offer unique skill sets and professional
services. More important, if collaboration is encouraged, new tenants may provide
access to new markets and clients.
For start-up renters looking for a space requiring limited customization, a shared
office space could offer benefits such as reduced start-up time and cost efficiencies.
While these arrangements are often short-term, since firms outgrow their shared office
space arrangement, some firms may find natural synergies and ultimately consider
long-term lease commitments to capitalize on both the cost-sharing benefits and the
partnering opportunities.
Infrastructure
Never has the basic operating toolkit for the start-up had such relatively low barriers
to entry. Full suites of Internet-based applications can be easily hosted with basic functionality at no cost, and open-source (nonproprietary) applications from sites like
Oracle’s OpenDocs.org have lowered the historical software acquisition investment
costs for new businesses.
Telecommunications tools, such as Skype® Internet phone service and web-meeting
services such as GoTo Meeting™, provide relatively low-fee services while considerably improving the lines of global teleconferencing for firms of all scales. Cloud-based
data sharing tools like DropBox® allow multiple users to access electronic files from a
remote, independently hosted server that is hosted for a monthly fee, thereby alleviating the business owner of the typically higher hard and soft costs of maintaining and
periodically upgrading a conventional in-office server.
For project management, new integrated project tracking and management applications can provide a wide range of functionality that could put off the need for dedicated accounting staff as a firm grows. Current design-friendly software such as
ArchiOffice™ provides customized project controls for timecards, project scheduling,
and project tracking. A complementary accounting application can integrate with
ArchiOffice™ for invoicing and expense reporting to clients. For many start-ups, more
affordable and less industry-specific small business accounting software, such as Intuit’s
QuickBooks™, may be adequate.
Financial Resources
Start-up financing is increasingly difficult to obtain as architecture firms and their
owners are often required to meet stringent loan eligibility criteria. Without considerable personal savings or personal loans, start-ups need to be wise with their resource
5.2 Entrepreneurial Practice: Starting an Architecture Firm
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allocation and thoughtfully prioritize office start-up investments. While firm IT infrastructure needs can be obtained at a minimal cost, there are still significant financial
considerations to address at the outset of setting up a professional services firm, including but not limited to office fixtures and furnishings, licensing and insurance, marketing and business development, salaries (for the founder and/or staff), and supplies.
Traditional sources of small business loans and start-up capital made available
through agencies such as the Small Business Administration (SBA) are increasingly
limited and not always accessible for many founders of start-up firms. It is recommended that firms contact their local banking institutions that provide SBA loans to
determine their eligibility to participate. Typically, there are two types of SBA loans:
the basic 7(a) Loan Program, which is the most used type of loan the SBA offers and is
available in amounts up to $2 million; and the MicroLoan Program, which specializes
in loans for small business up to $35,000. According to the SBA website, their 7(a) Loan
Program may be the most inclusive of all their resources, as it provides “financial help
for businesses with special requirements. For example, funds are available for loans to
businesses that handle exports to foreign countries, businesses that operate in rural
areas, and for other very specific purposes.”
In the case of new firms without established credit history, it can be difficult to
qualify for loans and lines of credit, and, as such, other approaches to gathering start-up
financing may need to be considered, including but not limited to these:
▶ See Chapter 4, Public Interest
Design, for more on community
design centers and socially
responsible design.
1. Secure personal funding and loans through:
a. Credit cards. This is often the least desirable option, as interest rates are typically
quite high and overburdening a balance can adversely affect the guarantor’s
credit history.
b. Personal loans. Family, friends, and personal contacts.
c. Vendors and supplier loans and lines of credit.
2. Securing investors through:
a. Funding “spin-offs.” New independent firms can be financed as offshoots of an
existing practice or as a result of a strategic alliance with a larger firm. Sometimes
large organizations are interested in funding smaller, start-up firms or even academic research units that can help advance a specific technology or practice
initiative that may provide a strategic advantage or unique access to new or
emerging markets.
b. Partnership arrangements. Firm founders may consider negotiating a long-term
agreement with future shareholders to consider “sweat equity” in the firm’s
nascent period. In the start-up phase, potential shareholders could work in
exchange for future shares of the practice. It is important for potential shareholders to review all state licensure requirements for firm shareholders and to
get any agreements in writing.
3. Secure grant funding through:
a. Microfinancing or “crowd funding.” Grassroots fund-raising, usually via online
platforms, from many funders (often in limited and small amount) to support a
particular cause, project, or organization.
b. Not-for-profit organization status. Some firms establish themselves as 501(c)(3)
entities, with a focus on public interest and pro bono design work. Organizations
of this type tend to be community design centers and these entities typically do
not engage in for-profit work.
Marketing
Social media tools provide a means of online communication between the user and a
larger audience. With the relative abundance of powerful and popular Internet-based
social media applications—specifically Facebook©, Twitter©, Pinterest© and Linked
In©—marketing for a start-up is a relatively accessible and cost-effective endeavor.
Start-ups can use these social media applications to create a platform for broadcasting
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Organizational Development
▶ Chapter 6, Marketing and
Business Development, covers
effective marketing strategies and
methods for architecture firms.
▶ See Strategic Planning for the
Design Firm (5.3), Developing
Marketing Strategy (6.2), and
Networking and Business
Development (6.4) for more on
business planning.
Writing a Business Plan
For design firms, business planning can be divided into
four primary aspects: purpose, finance, operations, and
marketing. Once purpose is understood, plans can be
developed within each of the other three functional arenas.
Please note that the business plans discussed in this section
are not the kind needed for securing a bank loan. Those
may have a particular form that is provided by the lending
institution. Instead, these business plans are meant as documentation of intentions and the proactive measures
designed to accomplish goals. Business planning brings
intentionality to the management of a small firm, which is
a distinctly different approach than being moved primarily
by external circumstances. Much of the material in this
section was sourced from The Architect’s Guide to Small
Firm Practice (Wiley, 2010) by Rena M. Klein, FAIA.
Although the components of the business plan appear as
distinct parts, in reality they are interconnected. Each aspect
is an element of a whole firm system and, as such, they impact
each other continuously. Marketing efforts must link closely
with aspirations, which often determine operational choices;
operational effectiveness will impact financial growth, and
market position may determine what is possible financially.
In Figure 5.5, each aspect of the business plan is shown to
have each of the other aspects within. For example, consider
Marketing—each quarter of the Marketing quadrant is related
to one of the four major quadrants. The financial aspect of
Marketing is a marketing budget; the purpose aspect of Marketing is alignment of the marketing message with vision; the
operations aspect of Marketing has to do with improving job
acquisition processes such as the proposal writing; and, finally,
the marketing aspect of the Marketing quadrant is outreach
to new prospects and forming new relationships.
E LE M E N TS O F A B U S IN E S S PL AN
A.
•
•
•
•
•
•
•
PURPOSE/BUSINESS MODEL
Philosophy/core values
Project types? Client types?
Career contentment and disposition of owners
Core competence and core weaknesses
Market opportunities and threats to market position
Firm size
Firm future, including transition plan
B.
•
•
•
•
•
FINANCIAL PLAN
Financial expectations of owners
Revenue goals over time
Operating budget expectations over time
Profit plan over time
Scenario plans for firm revenue and staffing over time
C.
•
•
•
•
•
OPERATIONS PLAN
Organization structure
Technology upgrades and integration
Project delivery model
Knowledge acquisition and development
Promotion, recruitment, and compensation
D.
•
•
•
•
•
MARKETING PLAN
External market conditions and competition
Target market
Key differentiators
Image and brand
Relationship-building and networking plan
Excerpted from Architect’s Guide to Small Firm Management
by Rena M. Klein (Wiley, 2010).
5.2 Entrepreneurial Practice: Starting an Architecture Firm
195
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updates and virtually any message at the click of a button. Firms considering the relative value of social media should consider at least the following: (1) who is the potential
audience, (2) the motivations and objectives behind such a marketing approach and the
value of the content being broadcasted through these potentially “viral” media tools,
and (3) the commitment and level of effort to maintain these applications. Lastly, it is
not uncommon for firms to find themselves networking among themselves, when it
may be more effective to fine-tune a social networking strategy that reaches out to a
larger public audience, particularly potential clients.
The use of the Internet to market start-ups also includes participation in competitions and other online gallery opportunities. Exposure on multiple Internet sites can
increase a firm’s visibility on search engines and, ultimately, accelerate a firm’s name
recognition with relatively little financial investment, if any.
Start-ups with limited marketing budgets may find that participation in civic
engagement commitments, AIA events, and public interest design projects may yield
meaningful results. This is especially true when volunteer engagement is aligned with
a founder’s genuine interests. For example, practitioners that are committed to public
realm design may be inclined to serve on planning boards and design advisory committees in their local municipalities. These types of engagements can bolster the reputation of a firm and demonstrate the founder’s competence and capability to colleagues
and potential future clients.
Finance
PA R T 2 : F I R M M A N A G E M E N T
Purpose
Align w/
business
model
Financial
goals
Financial
planning
Budget
tracking
and control
Image,
reputation
& brand
Ethical
& socially
responsible
Community
giving
Reduced
waste
Align
message
w/ purpose
Marketing
budget
Align
continuing
education
w/ purpose
Operations
budget
Outreach
to new
prospects
Improve
marketing
processes
Market
operational
successes
Improve
production
processes
Marketing
Operations
The Architect’s Guide to Small Firm Management (Wiley, 2010)
FIGURE 5.5 Each Box in This Diagram Represents a
Different Yet Interconnected Aspect of Business Planning.
Firm owners can customize this diagram to suit their own business plan and update
the diagram as some goals are completed and some are altered by external circumstance. This fractal diagram can be used as a tool to plan and track firm development
activities over time.
For start-ups, marketing is likely to be the most important aspect of the business
plan initially, but marketing is not possible without knowing purpose. It is not possible
to effectively deliver projects acquired without holistic knowledgeable operations.
Overall profitability will be elusive without financial management. All the parts of business planning are interconnected.
EN TRE P RE N E U R I A L P R A C TI C E
Self-Awareness
▶ Qualifications, Proposals, and
Interviews (6.5) discusses
approaches to RFPs and
preparation for short-list
interviews.
As a founder, the key to successful strategic and opportunistic choices is self-knowledge
in two key areas: level of comfort with collaboration and tolerance for risk. Founders
with self-awareness and integrity about these two issues can successfully shape a firm
based on their own values and proclivities, using their understanding of self as a primary firm design criteria.
In the race to win work, keep staff billable, and build up a firm’s portfolio, founders
should assess the advantages and disadvantages of pursuing or accepting certain projects or tasks. This underscores the importance of being strategic about identifying
assignments that reinforce the firm mission or help build the firm’s brand and identity.
Eugene Kohn, Founder and Chairman of KPF Associates, frequently recounts advice
given to him by a friend during the recessionary times of the mid-1970s: “Your success
will be measured by the work you turn down.”
Level of Comfort with Collaboration
How much trust and how much control feels comfortable to a firm’s founder is a function of personality and inclinations. The comfort zone will vary for different types of
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Organizational Development
▶ See Small-Firm Collaboration
(5.7) for more on collaborating
with other design firms.
PA R T 2 : F I R M M A N A G E M E N T
decisions; for example, a founder may feel comfortable collaborating on project management, but not allow collaboration on design decisions.
In control-centered practices, architects keep a tight rein on information,
knowledge, and drawings (or models), sharing only the minimum necessary for subconsultants to perform their work. In collaboration-centered practices, information,
knowledge, and drawings (or models) are readily shared and the entire team participates,
to varying degrees, in the co-creation of the design.
Founders with a high degree of comfort with collaboration have the opportunity
to participate on collaborative teams, either as a leader or an expert contributor. In
addition, a highly developed interest in collaboration may lead to joint ventures with
other firms, or participation in emerging project delivery methods such as Integrated
Project Delivery (IPD). Founders who enjoy collaboration are likely to have success in
growing their firms through cultivating an empowered and engaged staff.
Founders who prefer a more controlling style may choose to be solo practitioners
or leaders of very small firms where they can track everything and be completely in
charge. Firms such as these can also be successful, especially when the founder has
specialized knowledge, unique talent, or access to high margin markets. Being a solo
practitioner or leading a very small firm can also be the choice of those who enjoy
external collaboration but prefer to do much of the internal project work themselves.
Clearly, there is a spectrum of practitioners within the boundaries of both extremes,
but firm founders who have self-awareness about their place on this continuum are
more likely to acquire and execute their projects with integrity—to say what they mean
and to mean what they say. In addition, self-awareness about level of comfort with collaboration will help to unapologetically develop a firm that truly takes advantage of the
founders’ strengths.
Risk Tolerance
Starting a firm is risky. Architectural firms operate in an environment of unpredictability where success or failure is not solely predicated on the talent and effort of the
founder(s). There are ways to mitigate unpredictable risks, such as purchasing professional liability insurance and planning contingencies on projects. Practice risks can be
mitigated through the careful choice of clients and projects and by following best
practices in terms of agreements and documentation.
Other risks must be accepted as inevitable, with corresponding actions taken to
prepare for these risks. For example, there is likelihood that the founder’s personal
income may be very low in the first few years of firm operations. Founders should be
prepared to partially fund their own salaries for at least 12 months and for various
periods of time throughout the life of the firm.
In addition, founders must be able to provide health insurance coverage for themselves and their employees. The Affordable Care Act is expected to increase health care
insurance options for individuals and as such may be beneficial to those starting a firm.
As an illustration of the effects of health insurance costs on starting a business, a study
by RAND corporation (Is Employer-Based Health Insurance a Barrier to Entrepreneurship?
[RAND, 2012] by Robert W. Fairlie, Kanika Kapur, and Susan M. Gates) found that an
increase in entrepreneurship at age 65 is attributable to eligibility for Medicare.
Because of the need to self-fund benefits that are usually supplied by employers,
minimizing other kinds of overhead will help mitigate the financial risks incurred. If a
person is uncomfortable with the notion of not receiving a predictable paycheck at
regular intervals, and with providing their own insurance and retirement savings, being
self-employed will be very difficult.
Architects who feel uncomfortable with the unknown— “Will the phone ever ring
again?”—may find self-employment to be overly stressful. Many deal with the unpredictable nature of practice by simultaneously engaging in other endeavors that supply
more reliable incomes in more predictable time frames, such as teaching, or becoming
a construction management adviser or building inspector.
▶ Risk Management Strategies
(16.1) and the accompanying
backgrounder, Risks in Design,
discuss strategies for calculated
risk taking.
5.2 Entrepreneurial Practice: Starting an Architecture Firm
197
Despite the risk, many find the rewards of autonomy, the opportunity to design,
and the ability to self-determine one’s work life to be well worth it.
Why Firms Fail
Data collected by the Small Business Administration between 1992 and 2002 indicates
that less than a third of new businesses started in 1992 survived their first decade of
existence. Martin Zwilling, a venture capitalist and contributor to Entrepreneur magazine, has developed a list of 10 reasons why first-time entrepreneurs fail (“10 Top
Reasons Why First-Time Entrepreneurs Fail,” Entrepreneur, September 2012):
PA R T 2 : F I R M M A N A G E M E N T
•
•
•
•
•
•
•
•
•
•
Lack of or inability to execute a business plan
Slim or no-revenue pro forma (projections)
Limited business opportunities
Inability or ineffectiveness in execution
Too much competition
Limited or lack of valuable intellectual property
Inexperienced team/staff
Underestimating resource requirements
Lack of marketing
Lack of resilience—giving in too early
The list may be helpful to consider as an internal checklist for architects about to
start their own firm. Most of the items can be addressed through careful planning,
realistic assessment of strengths and opportunities, and thoughtful self-awareness.
Writing a business plan that includes an operations and financial plan is one way to
bring discipline and careful preparation to the endeavor. Architects, who are trained as
planners and designers, can bring their abilities to the creation of their firms. No architect would consider designing a building without a purpose, site, structure, or budget.
Starting a firm without articulating the mission, markets, project execution, or potential revenue stream is equally foolish. Considering these issues early in the firm planning process and throughout its start-up phase is the key to sustainable success.
C ON C LU S I O N
Like the design of a custom home, starting a design firm presents the opportunity to
create a business entity and firm culture that truly reflects the strengths, tendencies,
and proclivities of its founder and by extension, its staff. The skills architects apply to
their work as design professionals should be used to plan the start and ongoing evolution of their firms. Designing a firm entails considering financial goals, purpose, size,
optimal structure, business development strategy, and the best possible integration of
the interest, skills, and aspirations of its founders. While there may be no formulas,
secret techniques, or consultants that can deliver a custom-designed practice, one’s
awareness of self, knowledge of the basics of running a business, and understanding of
the drivers of change are important first steps in the journey. Recognizing trends and
patterns at the global, organizational, and interpersonal levels offers founders an insight
into the potential for firm development and a growth strategy.
Planning a new design practice, like planning a new space, also entails the consideration of sustainability, something that can stand the test of time. In the midst of
change and unpredictability, it is important that founders prioritize personal values and
preferences that will lead to professional satisfaction, which in turn is closely connected
to potential for profitability. Therefore, a key aspect of founder self-awareness is an
understanding of how success and satisfaction in their work is defined.
When thinking about starting a firm, consider the following:
• How important is financial success?
• How much money is enough?
198
Organizational Development
•
•
•
•
•
How will direct and indirect value of firm output be measured?
How important are name recognition and design awards?
Does success include “doing good” for the local community?
Does success include having a healthy and contented office culture?
How important is fun and creativity in the firm?
PA R T 2 : F I R M M A N A G E M E N T
Firm founders, in shaping their practice, should consider these personal factors
along with external realities such as demographics, global practice, overall economic
health, target market project opportunity, and the firm’s role in civic engagement.
Appreciation of these trends in unpredictable times is essential for firm founders to
navigate through uncharted territory in the New Normal.
In some ways it has never been easier, or perhaps more necessary, to start one’s own
firm. The advent of “telecompanies” (“When Job-Creation Engine Stops at Just One,”
New York Times, Oct. 04, 2012) allows solo practitioners to expand their capacity with
a flexible virtual workforce. Web- or cloud-based IT infrastructure and new advances
in business administrative support expand capabilities at a low cost. Furthermore, social
media is providing a new and unprecedented ability to reach out to and engage potential clients and collaborators. Entrepreneurial architects who are self-aware, risk tolerant, and have a vision of how their offerings can fit into the marketplace have a unique
opportunity to reap the benefits of designing their own work-life that is both personally satisfying and financially rewarding.
F or Mor e I nf o r m ati o n
Freelancer’s Union: http://www.freelancersunion.org/index.html.
The Brand You 50 (Knopf, 1999) by Tom Peters.
“The End of the Job,” Fortune, 1994, by William Bridges.
Architect’s Guide to Small Firm Management: Making Chaos Work for Your Small Firm
(Wiley, 2010) by Rena M. Klein, FAIA.
“The Founders Dilemma,” Harvard Business Review, Feb. 2008, by Noam Wasserman.
The Business of Architecture: 2012 AIA Survey Report on Firm Characteristics: www.aia.org/
store.
Managing the Professional Service Firm (Simon & Schuster, 1997) by David Maister.
BACKGROUNDER
F IRM L EG AL ST RUCT URES
Jay Wi cker s ham, FAIA
This backgrounder describes the most commonly used legal
structures for architectural firms, and key factors to consider
in choosing or modifying a firm’s structure (Table 5.1).
Jay Wickersham is a founding partner of the Cambridge, Massachusetts, law firm Noble & Wickersham LLP, and a lecturer at the Harvard Graduate School of Design, where he
teaches courses in the history, law, and ethics of practice.
Every architect who establishes an independent practice
should consider creating a separate legal entity to serve as
the framework for practice. What we commonly call a “firm”
can take on many different legal forms, from sole proprietorship to partnership, limited liability partnership (LLP), corporation, or limited liability company (LLC). Even a sole practitioner
can create a corporation or LLC as the vehicle for practice.
What follows is an overview of the most commonly used
legal structures for firms and factors to consider in choosing
and shaping an entity.
The laws governing legal entities, and their availability for
architectural practice, vary from state to state. The choice of
entity can also have important financial and tax implications.
A practitioner should always obtain legal and accounting
advice to guide the process of creating or modifying an entity.
C H OIC ES OF LEGAL S TR UC TUR ES F O R P R A CTI CE
Sole Proprietorship
An individual architect who has not taken any formal action
will, by default, be considered to be practicing as a sole
proprietor. A sole proprietorship may be given its own name,
but in legal terms it has no independent identity. Because the
owner does not enjoy any liability protection, all of his or her
(continued)
5.2 Entrepreneurial Practice: Starting an Architecture Firm
199
personal assets are at risk if there is a claim. From a tax
perspective, a sole proprietorship is a disregarded entity; it
does not file a return or pay tax, but instead all of its income
and losses are reported on the owner’s tax return and are
taxed only there. A sole proprietorship dissolves upon the
owner’s death.
PA R T 2 : F I R M M A N A G E M E N T
General Partnership
Two or more architects practicing together may be deemed
to be practicing as a general partnership—regardless of
whether they have taken any formal legal steps. Every state
has passed a law that is a version of the Uniform Partnership
Act, defining baseline assumptions about ownership and control of a partnership. However, it is extremely important for
architects who intend to create a partnership to draft and
sign a written partnership agreement that sets out the detailed
terms of their association. In a general partnership, all of the
partners actively participate in management. (Limited partnerships are generally used as investment vehicles and not
for professional services; limited partners have an ownership
share, but only limited management roles.) Each general
partner is potentially liable for the actions of the other partners; a partner’s liability may extend beyond one’s partnership interest, to reach the partner’s personal assets as well. A
general partnership does not pay federal taxes; each partner’s share of income and losses is passed through and
reported on the individual’s tax return.
Limited Liability Partnership (LLP)/Professional LLP
Most states have passed laws that permit the creation of a
partnership variant known as an LLP. In general, LLPs offer liability protections that are not available to general partnerships;
the personal assets of partners, other than their ownership
interest in the LLP, are protected against liability for business
claims against the partnership, except in the case of fraud or
other extreme wrongdoing. But partners typically remain liable
for their own professional negligence, even when acting on
behalf of the LLP. In addition to a written partnership agreement, the governing documents for an LLP will include an LLP
certificate filed with the Secretary of State’s office.
In many states, architects can only practice through a
professional LLP, which may be subject to further restrictions
on ownership, liability protection, and insurance (see the
accompanying chart for further details).
Business Corporation
The most common form of legal entity for an architectural firm
is the business corporation. All corporations have three levels
of participants:
• Stockholders are the owners of the corporation, with their
ownership evidenced by shares of stock.
• Directors are elected by the stockholders, and have a fiduciary duty to act in their best interests. They are responsible for broad policy decisions.
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Organizational Development
• Officers are elected by the directors; they carry out the
day-to-day management of the corporation.
Stockholders’ personal assets, other than their ownership
interest in the firm, are protected against liability for business
claims against the corporation, except in the case of fraud or
other extreme wrongdoing. But stockholders typically remain
liable for their own professional negligence, even when acting on behalf of the corporation. The governing documents
for a corporation will include articles of organization filed
with the Secretary of State’s office, and written corporate bylaws.
Within the category of business corporation, there are
two broad subcategories.
Publicly Traded/Subchapter C Corporation
A handful of architectural firms are so large that their stock is
publicly traded on a stock exchange. In publicly traded corporations, the controlling ownership interest is typically held
by outside stockholders who are not actively involved in management of the firm. There is limited overlap among stockholders, directors, and officers. Publicly traded corporations
pay corporate taxes on their income; their after-tax profits
can then be passed through to the stockholders in the form of
dividends, to be taxed a second time on the stockholder’s
individual tax return. (This system of double taxation is
defined in subchapter C of the Internal Revenue Code—
hence the name of this type of corporation.)
Closely Held/Subchapter S Corporation
Most architectural firms that choose the corporate form of
entity are what is known as “closely held corporations”—they
are owned by stockholders who are actively engaged in the
practice, and some or all of the stockholders also act as corporate directors and officers. To ensure that ownership of a
closely held corporation does not pass to outsiders, the stockholders will typically execute a stockholders agreement that
contains restrictions on the transfer of stock. Under subchapter S of the Internal Revenue Code, corporations with no
more than 100 stockholders, all of them being U.S. citizens
or resident aliens, may elect not to pay federal taxes; instead,
profits in the form of dividends, and limited amounts of corporate losses, are passed through and reported on the individual stockholder’s tax return.
Professional Corporation
In many states, architects may elect a special form of entity
known as a professional corporation. Because professional
corporations are subject to further restrictions on ownership,
liability protection, and insurance (see the chart for further
details), they are rarely selected in states where architects
may also practice as a business corporation. In a small number of states, the professional corporation is the only corporate entity permitted for an architectural firm.
The LLC is a form of legal entity that has come into widespread
use in the past 20 years, following the passage of enabling
laws in all 50 states. An LLC has two levels of participants:
• Members are the owners of the LLC.
• Managers are elected by the members, and have a fiduciary duty to act in their best interests. They are typically
responsible for both policy decisions and the day-to-day
management of the LLC.
Members’ personal assets, other than their ownership
interest in the firm, are protected against liability for business
claims against the LLC, except in the case of fraud or other
extreme wrongdoing. But members typically remain liable for
their own professional negligence, even when acting on
behalf of the corporation.
As with corporations, most architectural firms that choose
the LLC form of entity are “closely held”; they are owned by
members who are actively engaged in the practice, and who
may also act as managers. Under the Internal Revenue Code,
an LLC may elect to be treated for tax purposes as a sole
proprietorship (if it has only one member), as a partnership,
or as a corporation. If it elects sole proprietorship or partnership treatment, it will not pay federal taxes; instead, a member’s share of income and losses are passed through and
reported on the individual’s tax return.
In many states, architects can only practice through a
professional LLC, which may be subject to further restrictions
on ownership, liability protection, and insurance (see the
chart for further details).
AD D I T I ONA L C ON S I D E R AT I ON S
Government filing requirements—Secretary of State’s offices.
In order for an LLP, corporation, or LLC to come into legal
existence, it must make an initial filing with the office of the
Secretary of State (or comparable agency) in the state in
which it has been formed, and pay the required filing fee.
Entities must also file annual reports, or they run the risk of
being dissolved. Sole proprietorships and general partnerships do not need to make these filings.
Firms are increasingly being required to make comparable filings as out-of-state (“foreign”) entities with the Secretary of State’s office in all states in which they practice
architecture. These filing requirements are distinct from the
firm practice requirements defined by the state architectural
registration boards (see chart).
Government filing requirements—State architectural registration boards. Although architects are universally aware that
they must become individually registered by each state in which
they practice, many are not aware that in most states, in-state
and out-of-state (“foreign”) firms are also subject to legal requirements set forth by the state’s architectural registration board. In
most states, a firm must make a filing with the registration board
and obtain a certificate of authorization (COA), or comparable
document, before it can practice. Even those states that do not
issue a COA typically impose requirements upon firm practice.
Registration boards may require the registration of owners
and/or managers, in the home state and/or the state of practice; they may also limit or ban certain types of legal entity, or
even set rules for names under which a firm may practice.
Actions on behalf of the firm. To maintain liability protections, all formal actions of a firm (signing contracts and other
legal documents, issuing letters and drawings, etc.) should be
taken in its name, so that parties with whom it deals are put
on notice that they are dealing with an independent legal
entity and not an individual.
Informal management practices versus legal responsibilities. It is common for architectural firms to give key employees titles such as “principal” or “associate.” Such titles may
accompany well-defined responsibilities for project and/or
firm management. Firm owners should carefully review such
informal management titles and practices, to see that they are
appropriately coordinated with the responsibilities set forth
by law for management of the chosen form of legal structure.
TABLE 5.1 Summary of Legal Structures
Ownership
Liability Protection for
Management Personal Assets
Tax Treatment
Secretary of
State Filings
Sole
Individual
Proprietorship practitioner
Individual
practitioner
None
None
Does not file federal
return or pay taxes—
income/losses passed
through to individual
owner
General
Partnership
Partners
None
Files federal return,
but does not pay
taxes—income/losses
passed through to
individual owners
Partners
None
State Registration
Board Filings/
Requirements
Typically not
required
Many states require
certificate of
authority (COA):
varying
requirements for
licensing of partners
(continued)
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201
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Limited Liability Company (LLC)
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TABLE 5.1 (continued)
202
Secretary of
State Filings
State Registration
Board Filings/
Requirements
LLP certificate,
for formation
state and
foreign states
Same as above;
some states permit
only professional
LLPs (see below)
Ownership
Liability Protection for
Management Personal Assets
Limited
Liability
Partnership
(LLP)
Partners
Partners
Professional
Limited
Liability
Partnership
(LLP)
Partners—all
must typically
be licensed
Partners—all Same as above
must typically
be licensed
Same as above
Same as
above
Many states require
COA: all partners
must typically be
licensed; LLP may
need to carry
minimum level of
professional liability
insurance (PLI)
Subchapter C
Corporation
Stockholders
Directors,
officers
Stockholders may be
personally liable for their
own professional
negligence, but are
typically protected
against other claims
(except for fraud and
other extreme
wrongdoing)
Files federal return,
pays taxes; profits
passed through as
dividends to
stockholders, who pay
double taxation on
individual returns
Articles of
organization,
for formation
state and
foreign states
Many states require
COA: varying
requirements for
licensing of
stockholders,
directors, and
officers; a few states
permit only
professional
corporations (see
below)
Subchapter S
Corporation
Directors,
Stockholders
(no more than officers
100, who must
be U.S. citizens
or resident
aliens)
Same as above
Files federal return,
but does not pay
taxes—income (and
some losses) passed
through to individual
stockholders
Same as
above
Same as above
Professional
Corporation
Stockholders—
all must
typically be
licensed
Same as above
Directors,
officers—all
must typically
be licensed
Same as above
Same as
above
Many states require
COA: all
stockholders,
directors, and
officers must
typically be
licensed;
corporation may
need to carry
minimum level of PLI
Limited
Liability
Corporation
(LLC)
Members
Managers
Members may be
personally liable for their
own professional
negligence, but are
typically protected against
other claims (except for
fraud and other extreme
wrongdoing)
If LLC selects,
partnership treatment,
files federal return but
does not pay taxes—
income/losses passed
through to individual
owners
LLC
certificate, for
formation
state and
foreign states
Many states require
COA: varying
requirements for
licensing of members
and managers; a
few states permit
only professional
LLCs (see below)
Professional
Limited
Liability
Corporation
(LLC)
Members—all
must typically
be licensed
Managers—
all must
typically be
licensed
Same as above
Same as above
Same as
above
Many states require
COA: all members
and managers must
typically be
licensed; LLC may
need to carry
minimum level of PLI
Organizational Development
Tax Treatment
Same as above
Partners may be
personally liable for their
own professional
negligence, but are
typically protected
against other claims
(except for fraud and
other extreme
wrongdoing)
5.3
Strategic Planning for the Design Firm
Raymond Kogan, AIA, and Cara Bobchek
If firm leaders want to achieve something they’ve never had before, they must do
something they’ve never done before. Through strategic planning, firm leaders
can envision the future of their firm, and then implement strategies and action
plans that will help the firm achieve positive results.
A good hockey player plays where
WHY B U SI N ESSES U SE STRATEGIC P LA N N I N G
Strategic planning involves thinking about the future. Companies large and small
use strategic planning to envision their objectives for the future and lay out the
steps they will take to achieve them. The strategic planning process begins with
envisioning a desired future state of the firm, a destination toward which the plan
itself will plot a course for the firm to follow. If this vision for the future is considered the destination of the firm, then the strategic plan provides the road map to
reach it.
The purpose of strategic planning is to create positive changes and outcomes for a
firm that aligns with its values and professional aspirations. In its strategic plan, a firm
can articulate its fundamental mission, describe its long-term vision, and address its
issues, initiatives, and goals in management, operations, and other crucial firm functions. The strategic plan is different from a marketing plan or a business plan in that it
typically encompasses a broader scope of topics over a longer period of time, combining long-, mid-, and short-term strategies and action plans.
Architecture firms—from sole practitioners to large multinational firms—can prepare for, understand, and respond to the dynamics of the ever-changing economic,
social, and political environment in which they practice: They can plan for change,
which is inevitable, and design their own futures through strategic planning. Business
studies confirm that companies and organizations in any industry that employ strategic
planning tend to be more successful than firms that do not.
plays where the puck is going to
be.
Wayne Gretzky, National Hockey
League record-holder for Most Career
Points Scored
A S T R AT EGIC PLAN FOR FRA N KLIN & A S S O CIATE S
Throughout this article, the development of a strategic
plan for a fictional firm, Franklin & Associates, will be
used to illustrate the process described herein. Franklin
& Associates is an architecture and interiors firm with
two offices in the Pacific Northwest. The firm engages
mainly in K–12 education projects, with occasional
work in higher education and civic buildings. The firm
was founded 25 years ago by Leigh Franklin, who
remains the majority owner; he plans to retire in the next
5 to 10 years. The firm is experiencing changing
dynamics in its key market sector and has had difficulty
in sustaining its once steady growth, having peaked at a
staff size of 18 people and recently downsized to
12 people.
Raymond Kogan is a management consultant and architect with more than 35 years of experience. He founded Kogan & Company in 2004 to advise design firms nationwide in strategic
planning.
A senior consultant with Kogan & Company, Cara Bobchek has 30 years of experience
working with design firms in strategic planning, marketing and communications, and market
research.
5.3 Strategic Planning for the Design Firm
203
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the puck is. A great hockey player
“Would you tell me, please, which
way I ought to go from here?”
“That depends a good deal on
where you want to get to,” said the
cat.
—Lewis Carroll, Alice Through the
PA R T 2 : F I R M M A N A G E M E N T
Looking Glass
ELEME N TS O F TH E S TR ATE GI C P LA N
Firms that employ strategic planning use the strategic plan as a management tool, making all of their key decisions within the context of moving toward a carefully thoughtthrough vision that they wish to reach. The elements of a strategic plan, each of which
is discussed in more detail in this section, are as follows:
•
•
•
•
•
•
Mission
Vision
Issues and Initiatives
Goals
Strategies
Action Plans
D E S IG NIN G A FIRM
In strategic planning, a firm has the opportunity to design
its future. The process is comparable to the steps that an
architect takes to design a new house (or most any project):
P RO G RA M M I N G
At the outset of an engagement, the architect meets with
the client to determine the functional and aesthetic needs
and desires for the project. This prelude to design relates
to the first step in strategic planning: an objective analysis
of a firm to identify the key issues and initiatives that affect
its ability to succeed.
S C HE MAT I C D E SI GN
Next, the architect exercises their creativity and translates
the building program into images in the form of
renderings, conceptual plans, and elevations; the house
begins to take shape. This first design step is comparable
to the big-picture and creative process of developing a
firm’s long-term vision. At this phase in strategic planning,
a firm may also develop a mission statement as an
expression of its primary purpose for being in practice.
DE S I GN D E V E L OPM E N T
To make the conceptual design more detailed and
understandable, the architect refines the plans and
elevations, describing basic building systems and
materials, and more actively involves other specialists, such
as engineers, in the process. This midterm design phase
parallels developing specific strategies to undertake, as
well as setting measurable, quantifiable goals to achieve in
order to move toward your firm’s vision.
CO NST RU C T I ON D OC U M E N T S
The house cannot be built—at least not easily or
accurately—from design development documents, so the
architect next produces detailed construction documents.
These give the contractor a set of instructions to convert the
two-dimensional concepts into three-dimensional reality.
This step is parallel to developing specific action plans that
make the strategies tangible and actionable. These nutsand-bolts action plans will be just as detailed as a set of
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Organizational Development
construction documents, with each task assigned to a
responsible champion with an agreed-upon deadline.
C ONS TR UC TION C ONTR AC T ADMI NI S TR ATI ON
The house isn’t complete when the construction documents are
prepared. The architect still needs to monitor the construction
so that the project achieves its original objectives. The
architect holds meetings with the owner, contractor, and
subcontractors, and assesses progress to make sure that
everything is being done as prescribed, or sees that, if a
change is necessary, it is implemented. In strategic planning,
a firm will also continue to manage progress toward its goals
through regular meetings of the strategic planning team,
assessing progress toward completing action items, adjusting
the course when necessary, and also communicating with all
employees that the firm is making deliberate forward motion
toward the vision.
The parallel elements of project design and strategic
planning line up neatly (see Table 5.2).
TABLE 5.2 How the Design of a Project Compares with
the Strategic Planning Process
Designing a Building
Strategic Planning
Programming
Issues and Initiatives
Determining the client’s
needs
What works, what doesn’t work,
and what opportunities lie ahead?
Schematic Design
Mission
Creative, big-picture
concepts
Purpose of the firm
Vision (long-term)
The firm’s aspirations for the future
Design Development
Goals (midterm)
More defined building
systems
Quantifiable, measurable targets
Strategies (midterm)
Good ideas to push the firm in
the right direction
Construction Documents
Action Plans (short-term)
Detailed drawings and
specifications
Who is going to do what, and by
when?
Construction Contract
Administration
Implementation and
Communication
Assessing and maintaining
progress
Sharing the plan and keeping it
on track
Mission
By capturing the essence of a firm, a mission statement provides employees, as well as
the marketplace, with a common understanding of the firm’s purpose. Many firms find
that a mission statement helps to rally everyone in the firm under one “flag.” Any size
firm may adopt a mission statement; for a smaller firm or sole practitioner, a mission
statement can be an effective way to express the identity of the practice and the practitioners, lending a greater sense of permanence.
If a firm chooses to adopt a mission statement, it should be:
Meaningful and unique to the firm.
Inspiring and positive.
Timeless—which means it is worth taking the time to wordsmith.
Memorable—and therefore brief.
Sincere—avoiding management clichés and buzz words.
Reflective of the core values, both personal and professional, of the firm founders/leaders and the firm as a whole. Many firms, large and small, express core
values as the driving motivator for their choice of vision, clients, projects, and
employees. Core values may relate to topics such as sustainability, diversity of
the staff, community involvement, and approach to conducting business, among
others.
PA R T 2 : F I R M M A N A G E M E N T
•
•
•
•
•
•
Because the mission statement represents the identity and purpose of the firm,
employees should feel a sense of ownership in it. Therefore, it’s important that the
leadership of the firm models the intent of the mission statement in their everyday
actions.
Vision
While a firm’s mission statement is intended to stand the test of time, the vision is
time-oriented. The vision describes a specific long-term future that the firm would like
to reach, the destination toward which the strategic plan will serve as a road map. The
vision should be evocative and inspiring, ambitious yet
realistic, multidimensional and descriptive.
F RA N KLIN & A S S O CIATE S ’ STRAT E GI C
As a long-term description of the firm in the future, the
P LA N : M IS S IO N A N D VIS ION
vision should be a 5- to 10-year objective. Most firms find
that 5 years is a comfortable long-term planning horizon,
MIS S ION
far enough into the future to be truly visionary as well as
Through the environments that we design for teaching
to provide enough time to achieve it, yet not so distant as
children, teachers, administrators, and community
to be too esoteric.
members, we shape future generations of highly
A firm’s vision may address many items, including the
educated adults.
following:
•
•
•
•
•
•
•
•
•
•
•
•
Optimum organizational structure
Services offered
Client-type markets served
Geographic presence
Number of employees
Revenue and profit goals
Leadership
Ownership philosophy and structure
Culture and working environment
Project delivery
Technology
Any other topics that describe the firm as it is desired to
be at a point in the future
V IS ION
In five years, Franklin & Associates will:
• Have grown to a staff size of 20, with two offices in
the Pacific Northwest
• Derive 20 percent of our revenue from our growing
higher education market sector
• Have transitioned ownership from our founder to
three to five next-generation leaders
• Be named among the “Best Places to Work” by the
major business publication in each city in which we
have an office, setting an industry standard for
recruiting, retention, and employee development
5.3 Strategic Planning for the Design Firm
205
Smaller firms need a well-articulated vision as much as larger firms do. Sometimes, because of fewer underlying resources a smaller firm may take on virtually
any type of work, and may, as a result, after some time lose a sense of direction.
Looking ahead to the future of the firm in five or more years can provide a clear
direction as well as a focus for a smaller firm leader’s decision making, just as it does
for a larger firm.
Firm leaders need input into and enthusiastic support for their vision and should
share that vision with everyone in the firm. The vision will serve as a touchstone for
the firm as its leaders and managers make key strategic decisions. As the foundation of
the firm’s strategic plan, the vision deserves focused attention and deep thought, as it
sets the tone and provides the context for future decision making.
PA R T 2 : F I R M M A N A G E M E N T
Issues and Initiatives
Issues are obstacles, circumstances, or attitudes—both internal within a firm and external in the world around the firm—that stand in the way of a firm’s achieving its vision.
Initiatives are positive ideas and activities that would propel a firm toward its vision. A
firm should base its strategic plan on the key issues that it must address and the key
initiatives that it will undertake in order to reach its stated vision.
It takes research, courage, and an open mind to uncover and fully understand a
firm’s key issues and initiatives. The best approach to identifying the key issues and
initiatives for the firm is to begin by interviewing managers, selected staff members,
and clients of the firm. Query them regarding the strengths of the firm—the things
that should be preserved and built upon to achieve the vision—as well as the challenges
or obstacles that are facing the firm. Then look for the patterns and trends in their
responses, which should point to the key issues and initiatives. Prioritize the identified
issues and initiatives in developing the plan. Sometimes it can prove difficult, or even
unfeasible, for a person inside the firm to ask probing questions of other managers or
staff members in the firm. Therefore, many firms engage a third-party consultant to
conduct this type of investigation in order to elicit truly candid thoughts and process
them objectively.
In addition to this valuable input from the firm’s managers, selected staff, and the
firm’s clients, consider supplementing the information gleaned with additional research,
especially into external trends and drivers that affect the firm’s clients’ businesses. The
“Preparing for Strategic Planning” section of this article, which follows, contains more
ideas for research avenues to explore.
To maximize the value of strategic planning, it is best to capture all of the findings
from the various sources of input—internal interviews as well as external market
research—in a written report. With this report, the participants in the process will be
fully aware of the firm’s collective thinking as illustrated in their comments about
their vision and the strengths and shortcomings of the firm. And by providing
verbatim quotes, there can be no dispute about any subjective interpretation of people’s thoughts. This level of candor, as captured in the report, will substantiate identifying the firm’s key issues and initiatives, as well as begin to prioritize them for the
strategic plan itself.
In the context of the vision, a firm’s strategic plan may address issues and initiatives,
including the following:
•
•
•
•
•
•
•
•
206
Achieving and managing growth
Strategic market focus
Prospective client profiles
Design attitudes and direction
Organizational structure
Management roles and responsibilities
Leadership succession planning
Ownership transition
Organizational Development
•
•
•
•
•
•
•
•
•
Firm governance
Marketing and business development
Financial performance
Firm financial management
Employee recruiting, development, and retention
Changes in project management and project delivery
Applications of technology
Adherence to firm values
Scenarios and contingency plans for the future
PA R T 2 : F I R M M A N A G E M E N T
It is important to rigorously prioritize the number, complexity, and balance of
issues and initiatives that the firm will address in its strategic plan. The greatest obstacle to successfully implementing the plan is taking on more strategies and action plans
than the firm can manage. Therefore, when developing the firm’s strategic plan, recognize the finite capacity of the firm’s management in light of their day-to-day duties,
and perform a reality check upon drafting the plan. Asking the following questions will
be helpful in performing this reality check:
• What can the firm really afford and allocate the resources to take on vs. what can
the firm not afford to take on?
• What can the firm not afford not to take on? In other words, what is the most important or challenging item to tackle? If an item is not addressed, is there a good reason
not to do so?
Issues and Initiatives for Smaller Firms
Because smaller firms and sole practitioners can be especially susceptible to certain
factors and influences, such as the temptation to reactively pursue many types of project opportunities in an effort to bolster revenue, their strategic plans might typically
address the following topics:
• Marketing and business development. Small-firm leaders and sole practitioners balance
many responsibilities. They are often so consumed with “doing” the work and meeting client deadlines that proactive marketing and business development take a back
seat. Therefore, it is all the more important for a smaller firm’s strategic plan to
address a focus on target markets and the specific actions that the firm will take in
marketing and business development.
• Financial management and performance. Very few architects have formal business
training, and smaller firms rarely have in-house financial management capabilities.
For these reasons, some small firms lack a strong sense of their business performance. Identifying in the plan just a few key financial metrics to monitor can give
small firms a “dashboard” view of their performance, so that they can take corrective
steps to improve where needed.
• Employee development. Smaller fi rms must maximize the resources that they
can devote to employee development and training, so their strategic plans
should call for personal mentoring from the founder(s) and leaders as well as
judicious use of highly tailored outside instructional programs. In addition to
promoting the progressive responsibility and career paths of employees, an
additional—and very important—benefit of mentoring can be that the firm
leader(s) will identify one or more people within the firm prepared to succeed
them.
• Succession and transition. Many smaller firms remain profoundly dependent on their
founders and some make little or no preparation for future leadership succession or
ownership transition. If the firm founder or leader intends to perpetuate the firm
beyond him- or herself, this important topic must be addressed in the strategic plan
with enough lead time to identify and develop future leaders as well as execute a
mutually profitable ownership transition.
▶ See Chapter 6, Marketing and
Business Development, for
detailed discussions of marketing,
communications, and business
development strategies.
▶ Ownership Transitions (5.6)
further addresses succession and
transition planning.
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207
F R ANKL IN & ASSOCIAT ES’ STRATE G IC P LA N : IS S U E S A N D IN ITIATIVE S
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• The firm’s key market sector of K–12 education is
shifting toward a preference for design-build
procurement instead of a traditional qualificationsbased design-bid-build model.
• The firm’s ownership is currently too concentrated to
effect an internal ownership transition.
• The firm has difficulty attracting and retaining
employees.
• The higher education market sector remains largely
untapped by the firm.
the new directions and attitudes that the firm will pursue in
order to reach its vision, the good ideas that the firm will
adopt to address its issues, enact its initiatives, and
achieve its goals.
TABLE 5.3 Franklin & Associates’ Strategic Plan: Goals
Franklin &
Associates’ ThreeYear Goals
Year 1
Year 2
Year 3
Net Revenue
$1.5 million
$1.8 million
$2.0 million
G O AL S
Staff Size
12
14
16
After identifying and prioritizing the key issues and
initiatives to be addressed in the strategic plan, the next
step is to set shorter-term (a three-year period is
generally appropriate), quantifiable targets that the firm
will attempt to reach on the path to its five-year vision
(see Table 5.3). Goals should be measurable in some
way, whether or not they are financially related, so that
the firm can aim for them with accuracy, track progress
toward achieving them, and be able to mark when they
are achieved.
When setting goals for a firm, set the bar high, making
the attainment of the goals a stretch, but keeping them
within the realm of the possible. While the types of goals
that come to mind most frequently are financial—anything
with a dollar sign in front of it or a percent symbol after
it—some areas in which goals may be applicable are as
follows:
Ownership
Distribution
1 owner
2 owners
3 owners
Employee
Turnover Rate
15%
12%
10%
Number of LEEDAccredited
Professionals
2
4
6
2
Number of
Qualified Resumes
Received/Month
3
5
• Revenue generation, both net and gross revenue
• Profitability, usually expressed as profit margin as a
percentage of revenue
• Number of employees
• Number of offices
• Approximate market share
• Diversification into specific new markets
• Achievement of specific number of LEED-certified
buildings or accreditation for professionals within the
firm
• Employee turnover
• Marketing hit rates, both proposal to short list and short
list to win
Goals are just as meaningful to smaller firms as they
are to larger firms. While the number of actual goals may
be fewer, setting the bar and marking a path toward the
firm’s vision is especially important in small firms,
considering the unpredictable path that they can take
through their business lives.
S T RATE GI E S
After setting midterm goals, the next step in strategic
planning is to commit to general strategies. Strategies are
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Organizational Development
The strategic planning team should brainstorm
strategies to address an issue, enact an initiative, or
achieve a goal. As the team discusses a given issue facing
the firm, the participants should ask themselves, “What are
we going to do about it?”
It’s imperative that in developing strategies the firm
is open to accepting and embracing constructive
changes. This may mean doing things that the firm
hasn’t done before, or ceasing to do things that the firm
has always done in the past. As strategies are
brainstormed, recognize that they represent
investments—of time, money, energy, attention, or other
resources—in the firm’s future, and consider the
implications of these investments individually and
collectively.
The strategies to which the firm commits will depend
on the issues and initiatives to be addressed in the
strategic plan. Reflecting the more limited resources
available, strategic plans for smaller firms should typically
contain fewer—but still high-impact—strategies and action
plans. Some examples of issues, initiatives, and topics
regarding which a firm’s planning team might brainstorm
strategies are shown in Table 5.4.
As the planning team develops the good ideas that the
firm will include in its strategic plan in order to achieve the
vision for the future, it is important to keep the thinking at a
high, strategic level. For example, issues surrounding an
individual manager or day-to-day firm administrative or
housekeeping matters, such as the need to resurface the
parking lot, are not strategic issues, while a program to
In addition to the good ideas represented by the strategies,
the firm will need to adopt specific action plans that
specific people will undertake to make the strategies
happen.
TABLE 5.4 Examples of Issues, Initiatives, and Strategy
Development
The strategies might consider…
Strategic market
focus
Market trends and potential
Current capabilities
Competitors
Organizational
structure
Staff size goals
Internal project delivery processes and
client/market project delivery trends
Geographic or multi-office considerations
Management
effectiveness
The firm’s optimal organizational structure
Roles, responsibilities, compensation, and
accountability
Leadership
succession
planning
Organizational structure
Training and development
Recruiting
AC TION PLANS
Action plans are the specific, short-term (up to one year)
tasks that a firm implements in order to convert the good
ideas represented by the strategies into results. Action
plans consist of three components: A specific, well-defined,
and discrete task, which often includes a deliverable; a
champion responsible and accountable for completing the
task; and a date by which the champion will complete the
task (see Table 5.6). The plan will be more effective if the
champions participate in creating the plan in the
collaborative group setting of the strategic planning
workshop, therefore having had a hand in developing the
action plan at the outset.
For each strategy included in the plan, the planning
team should develop and document at least one
commensurate action plan so that the good idea
represented by the strategy can be converted into a result
for the firm.
develop future leaders for the firm and the need to lease
office space in a geographic location new to the firm are
strategic (see Table 5.5).
Ending the strategic planning process with the
development of strategies would leave the plan incomplete.
TABLE 5.5 Franklin & Associates’ Strategic Plan: Strategies
Strategies Addressing Growth, Project Delivery, Ownership Transition, and Recruiting and Retention
1.
Expand our practice throughout the region
2.
Develop relationships with general contractors
3.
Increase proposal hit rate
4.
Improve average client quality rating by 10%
5.
Establish a larger presence in the higher education market sector
6.
Improve profitability
7.
Broaden ownership of the firm
8.
Become the go-to employer in each city where we have an office; recruit and retain top talent
9.
Launch an in-house employee development program
TABLE 5.6 Franklin & Associates’ Strategic Plan: Action Plans
Strategies Addressing Growth, Ownership Transition, and Recruiting and Retention
Note that the strategies/action plans are now organized in chronological order of their completion deadlines.
6.
2.
Deadline
Champion (mo./yr.)
Strategies
Action Plans
Improve profitability
Engage consultant and provide negotiating training to principals
and project managers
Develop and adopt new quality assurance/quality control
procedures to avoid rework and write-offs
Invoice continuously throughout each month to improve cash flow
Develop relationships with general
contractors
Compile contact list of local contractors who have completed
design-build work
Call on selected local contractors to discuss strategic alliances
Adam
1 month
Jerry
1 month
Julia
2 months
Dennis
3 months
Leigh
4 months
(continued)
5.3 Strategic Planning for the Design Firm
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If the firm’s issue
is related to…
PA R T 2 : F I R M M A N A G E M E N T
TABLE 5.6 (continued)
Strategies
Action Plans
Deadline
Champion (mo./yr.)
3.
Increase proposal hit rate
Design and implement more rigorous go/no-go criteria
John
4 months
4.
Improve average client quality
rating by 10%
Assign Quality Manager position
Develop and launch post-project client “report card” survey
Chris
Steve
5 months
5 months
1.
Expand our practice throughout
the region
Research and identify a potential new office location
Leigh
8 months
5.
Establish a larger presence in the
higher education market sector
Make strategic hire of higher education market leader
Leigh
10 months
9.
Launch an in-house employee
development program
Develop curriculum for “Franklin & Associates University” with
in-house and outside instructors
Caroline
10 months
8.
Become the go-to employer in
each city where we have an
office; recruit and retain top talent
Convene a focus group of employees to identify recruiting and
retention issues
Caroline
11 months
7.
Broaden ownership of the firm
Engage an ownership transition consultant to develop an internal
ownership transition plan and schedule
Mike
12 months
PREPARIN G FO R P LA N N I N G
Before anything else, preparation is
the key to success.
—Alexander Graham Bell
As discussed in the previous section, it is necessary to develop a strategic plan within
the context of the internal vision, issues, and initiatives of the firm as well as the larger
world within which the firm does business, taking into account trends, drivers, and
forces that comprise these external dynamics. In order to determine the basis on which
to make the decisions that form a firm’s strategic plan, the planning team needs to
understand what’s going on both within the firm and in the wider world. Therefore it
is important to gather and analyze relevant information externally, as well as from
within the firm.
Conducting Research
Some internal research tools that yield actionable information include the following:
• Employee survey
• Interviews with key managers
• Financial reports showing gross and net revenue patterns, profit margin trends firmwide and by target market, and other financial metrics including utilization, multiplier, revenue factor, as well as non-financial metrics such as resumes received,
employee turnover, proposal hit rates, etc.
Some sources for external research include the following:
• Industry and general business reports regarding trends and drivers that would affect
demand in the market sectors of interest, typically those publications that could be
found on a client’s desk, such as Modern Healthcare, American School & University
Magazine for higher education, Urban Land for private sector development, and
local/regional publications such as business journals and newspapers.
• Published data to provide peer and competitor benchmarking, widely available from
the several private survey and publishing firms that serve the architecture and engineering industry.
• The firm’s own survey of marketplace perceptions, including past, current, and prospective clients of the firm, as well as partner firms (peers, strategic partners such as
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Organizational Development
specialty consultants, prime firms, or subconsultants). A marketplace perception
survey is particularly valuable when the insights of the participants are collected and
analyzed by an objective third-party source at arm’s length from the firm.
Whenever engaging in gathering information through market research, it is important that, in analyzing the data, firm leaders take a step back and perform a “reality
check” on the findings and conclusions drawn. In general, firm leaders can trust their
own sense of market conditions and dynamics and how they relate to the firm—a topic
on which the firm leaders are the ultimate experts.
Analyzing the Findings
PA R T 2 : F I R M M A N A G E M E N T
After completing any internal and external research in preparation for strategic planning, objectively and dispassionately examine the information that has been collected.
Identify the real issues that affect the firm (and its clients) today, as well as into the
future. A valuable tool that organizations in all industries employ in order to synthesize
the findings from disparate sources into a systematic approach for strategic decision
making is an analysis of the firm’s strengths and weaknesses, opportunities and threats,
known as a SWOT analysis.
The SWOT analysis allows a firm to objectively analyze its various internal and
external drivers (see Table 5.7).
The top row contains the internal factors of strengths and weaknesses, those items
that occur within the firm and are completely within its capability to influence. The
bottom row contains opportunities and threats, items that occur outside the firm that
can be researched, anticipated, and prepared for, but over which the firm does not have
influence.
The left column contains the positive items of internal strengths and external
opportunities, while the right column contains the negative items of internal weaknesses and external threats.
Once the firm has arrayed its strengths, weaknesses, opportunities, and threats on
the diagram, it is easier to derive strategies, again by focusing on each one individually
and asking “What are we going to do about this?”
Preparing the Strategic Planning Team
When the research and analysis are complete, provide the results of all of the preplanning materials—the previously mentioned report containing findings from the internal
interviews with managers and key staff of the firm; results of an employee survey;
results of a marketplace perception survey; and additional findings of internal and
external market research—to the strategic planning team to provide ample opportunity
to digest the findings, consider implications, and prepare for brainstorming and decision making.
TABLE 5.7 SWOT Analysis Template
Strengths
1.
2.
3.
4.
Weaknesses
1.
2.
3.
4.
Opportunities
1.
2.
3.
4.
Threats
1.
2.
3.
4.
Negatives
Positives
Internal Factors
External Factors
5.3 Strategic Planning for the Design Firm
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Give homework assignments to the planning team members so that they can
develop their own individual visions and goals for the firm, which can be compared and
reconciled during the planning workshop.
Obtaining valid input into the planning process from a range of sources remains
important in a strategic plan for any size firm. For a smaller firm, conducting formal
interviews with the firm’s staff is also important. However, leaders of small firms, especially sole practitioners, have to be extremely introspective and honest about their
vision for the firm’s future and their own capacity to implement that vision. Because
smaller firms are often more tightly knit and enjoy a strong sense of interdependence
and camaraderie among the employees, soliciting ideas from all of the employees is not
only worthwhile, it is also much more feasible than in a larger firm. Also, smaller firms
are just as dependent on their clients as larger firms; so seeking objective input from
their external perspective lends a market-realistic context to the plan.
To help achieve greater success in strategic planning, the firm leaders can access
additional background reading materials on the subject. See the “For More Information” section at the end of the article for good references on strategic planning for
architecture firms of any size.
DEV E LOP IN G TH E P LA N
In the long run, men only hit what
they aim at. Therefore, though you
In addition to the research and preparation that will inform a firm’s strategic plan, it is
also important to involve the right participants—in the right place—to develop the plan.
should fail immediately, you had
better aim at something high.
Strategic Planning Team
—Henry David Thoreau
Just as a firm strives to convene the best project team for a client, firm leaders should
be thoughtful in selecting the participants on the strategic planning team. The team
should include, from both the operations and administrative/corporate teams, thought
leaders and subject matter experts who represent the firm’s leadership and management, market and practice leadership, and the best from among future firm leaders, as
they will have the greatest vested interest in the firm’s future.
In forming the planning team, consider the following:
• Size of the team. For a firm with sufficient staff size, the ideal size for the team is 6
to 12 people. This will provide enough minds for brainstorming, yet preserve a
comfort zone and a sense of intimacy in the planning workshop to facilitate discussing anything and everything.
• Responsibilities of the team. Participating on a strategic planning team is a major commitment, so in choosing the team members, firm leaders should include only those
who will contribute actively to the process. The highest and best use of some of
firm’s key personnel—even principals—may be to stay with their clients and projects while the planning workshop is underway, participating in implementation of
the plan after it is developed.
Planning Workshop
The planning workshop is an opportunity for open and straightforward discussion of
the most important matters affecting a firm: its future vision and what it will take to
reach it. This means that the workshop should be in a location, and with appropriate
arrangements, to facilitate these types of candid conversations.
Developing the strategic plan is an important enough activity to deserve the fully
focused time and attention of the planning team, apart from their usual responsibilities.
Therefore, the strategic planning team can set itself up for success by committing to a
one- to two-day dedicated planning period.
Consider the following items in setting up a place and time in which to develop a
firm’s strategic plan:
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• In order to be free of interruptions and the lure of day-to-day project demands, hold
the workshop off-site. An off-site location also helps to create a “special” atmosphere in which to brainstorm and design the future of the firm.
• To make the meeting time effective and to encourage active participation and free
discussion among all of the team members, set ground rules for the workshop. Chief
among these are that each participant must take a big step back from his or her
everyday role and take a broader, firm-wide view, think strategically, and actively
participate.
• Rigorously prioritize the issues and initiatives to be included in the workshop
agenda. Allow plenty of time for open discussion.
• Although a strategic planning workshop is a great opportunity to strengthen and
improve the dynamics among the planning team, and may include a social activity
such as a group dinner to that end, it’s best to focus on the work of strategic planning
and leave golf or other recreational activities to another, more appropriate event.
• Many firms benefit from involving a third-party facilitator in their strategic planning process. The facilitator can help to structure the entire process from preplanning internal and external research, such as interviews with key managers and staff
and a survey of clients and partner firms in the marketplace; analysis and reporting
of findings that will serve as the premises for the strategic plan; designing an ambitious and motivational—yet achievable—agenda for the workshop; and facilitating
the brainstorming and documentation of the strategic plan as it is developed during
the workshop.
The concept of a “workshop” in which to develop a strategic plan applies to any
size firm. In the spirit of inclusiveness (and because it is more feasible), small firms
sometimes involve their entire staff in the planning workshop.
For sole practitioners, it may be especially important to have an objective third
party participating with them while developing the plan, primarily as a sounding board
and reality check. This could be a professional colleague (not necessarily a design professional), a consultant, or even a willing friend or spouse.
Consensus
A firm makes many decisions during its strategic planning workshop. But it is a rare
occasion on which a decision is so obvious that those in the workshop will voice unanimous agreement; more often there will be differences of opinion to be reconciled.
While a democratic vote of ayes and nays is one way to arrive at a resolution, such a
vote lends itself to “winners” and “losers,” and the losers may find it difficult to support
the decision. A better method is to talk through matters to reach consensus. Achieving
consensus means that even those who had differing ideas are convinced by the group
to support an action—always with the greater good of the firm in mind—with the same
vigor as if it had originally been their own idea. The other side of reaching consensus
is allowing anyone on the team to object to a decision if they can voice a reason; sometimes the person objecting can sway the consensus to their way of thinking. In the end,
it is most important that the entire planning team portrays their support of the strategic plan components with one enthusiastic voice to the rest of the firm.
I MP L E M EN T I N G TH E STRATEGIC P LA N
Because the purpose of strategic planning is to bring positive change to a firm, it’s imperative that plans are put into motion and are carried through to the next planning cycle,
managing and delivering the elements of the plan with the same priority as the firm’s
most important projects. Everyone in a management role needs to model through their
own actions that people’s “day jobs” cannot interfere with the strategic plan; and in fact,
implementing the strategic plan is a part of everyone’s “day job.” Implementing the
strategic plan is certainly one of the most important aspects of the firm leader’s “day job.”
Plans are only good intentions,
unless they immediately degenerate
into hard work.
—Peter Drucker, noted management
consultant
5.3 Strategic Planning for the Design Firm
213
Implementing the Plan
The firm should employ a system for implementing the strategic plan so that it can
harness the momentum gained during the preparation and workshop. The following
tips will improve the firm’s success in implementing its plan:
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• Consider the champion responsible for each action item to be equivalent to a “project manager,” with the firm leader as the “principal-in-charge” of the entire plan.
Each member of the strategic planning team should be conspicuously enthusiastic
about the plan as they carry out their assigned actions, report progress to their own
staff, and elevate staff input back to the planning team.
• The strategic planning team should stay together through a series of regular meetings throughout the months and up to a year following the launch of the plan, using
the action items as a simple agenda, to constantly assess progress on the plan’s
implementation. Firms that keep up monthly meetings throughout the year enjoy
the greatest success from their strategic planning.
• In order to encourage accountability for completing the action plans, manage the
established deadlines by using them as agenda items in the strategic planning team’s
regular meetings. A good rule to employ: if a champion misses a deadline once,
immediately reschedule it. If the champion misses the new deadline, assign a different champion. In the long run, it’s much more important that the action plans are
completed than who actually completed them.
• Keep the plan relevant and active throughout the year by reviewing the effects of
each action plan as it is implemented. Ask the team to reflect and report on the following:
• Did the action item affect positive change for the firm? If so, report that positive
effect to the staff and take time to celebrate the success. If not, analyze the reasons why and reexamine whether to repeat that action in the future.
• If the action item is still relevant, have circumstances changed such that a course
correction is required? If so, document the changed circumstances and update
the plan accordingly, making any new assignments that may be required.
Many firms struggle with implementing their strategic plan, regretfully noting that
the plan that they worked hard to develop ends up as just another notebook on their office
shelf. It’s wise to employ constructive peer pressure to promote mutual accountability for
implementing the plan, through team meetings and regular report-outs to the staff.
Smaller-firm owners may need to be judicious so that the ambitions expressed in
their strategic plans don’t exceed their own capacity to implement them, and will likely
need to prioritize implementation actions and execute them over a longer period of
time. Owners of smaller firms will also need to be realistic when it comes to implementing their plans. Time spent to implement strategic plans will need to be carved
out from the everyday demands of project acquisition and delivery.
Communicating the Plan
The strategic plan greatly affects the firm’s future and requires the support of every
member of the firm. Therefore, the firm leader should share the plan with all employees and refer to it often to keep it top-of-mind and inspire confidence in the firm’s
leadership and direction.
Consider the following in communicating the strategic plan:
• Involve the entire staff in developing and implementing the plan. Collect staff ideas
through an employee survey, focus groups, or regular staff meetings during the
preplanning stage, encouraging candor. Provide a conduit for suggestions from the
staff for consideration at any time.
• Immediately after the team develops the plan in the workshop, communicate its
highlights to all staff members. This will calm any concerns that members of the
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staff may have upon knowing that the firm’s management team has been sequestered
in a workshop setting for the past two days.
• Share the entire plan shortly after the workshop with all staff, encouraging their
questions and feedback. Provide a handout for staff members to have, hold, and even
take home as a commemoration of this important advance in the history of the firm.
• Report progress often, mark positive changes, and celebrate successes.
• Use the strategic planning experience as an opportunity to commit to open and
transparent communication at all levels within the firm. The more knowledgeable
the employees, the more likely they are to support and help implement the plan.
Many employees—the best of them—will look for ways to help.
Rather than being an “event,” strategic planning is a process that businesses use to
envision their desired future, foster continuous improvement, manage change, and
achieve their goals and objectives for growth. A firm should consider its strategic plan
a ready management tool. For example, when making key decisions, firm leaders and
managers should ask, “Is this in concert with our vision and our plan?” If the decision
diverges from the vision or intent of the plan, then a good business reason for the
deviation should be documented—which may in itself signal the need to update the
plan with a course correction.
A ship in port is safe, but that’s not
what ships are built for.
—Rear Admiral Dr. Grace Murray
Hopper
Talk About It
Firm leaders can foster a strategic planning culture within their firm by keeping the
plan an important topic in conversations among firm stakeholders. A discussion of
the firm’s progress toward achieving the action plans, as well as any questions or
further input from managers and employees, should be a standing agenda item at
staff meetings, management meetings, and board of directors meetings. In addition,
progress can be reported periodically in a firm’s internal newsletter, in a featured
blog on the Intranet, at all-hands meetings, and through ongoing e-mails to all staff
members.
The Firm Leader’s Role
Just as each action item in the strategic plans should be led by an enthusiastic and
empowered champion, the entire strategic plan is the responsibility—if not the raison
d’être—of the president, CEO, or managing partner of the firm. It is the leader’s charge
to rally others in the firm to share a vision for the future and determine how to get
there. In addition, it is generally the firm leader’s responsibility to allocate investments
and other resources that are necessary to pursuing the strategies and carrying out the
action items laid out in the strategic plan, supporting the individual champions in their
missions.
Updating the Plan
If a firm is to rely on the strategic plan as a management tool, then it will be important
to keep it fresh, up-to-date, and relevant. Far too many changes occur—both outside
and within most firms—for a strategic plan to remain a static document. For most
firms, this means updating the plan annually or biannually, with fully rendered renewals every three to five years.
F or Mor e I nf o r m ati o n
Strategic Planning for Design Firms (Kaplan, 2007) by Raymond Kogan, AIA, and Cara
Bobchek.
The Architect’s Guide to Small Firm Management: Making Chaos Work for Your Small Firm
(Wiley, 2010) by Rena M. Klein, FAIA.
5.3 Strategic Planning for the Design Firm
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MAI NTAI N I N G A STRATEGIC P LAN N I N G C U LTU R E
How Firms Succeed: A Field Guide to Design Management (Greenway Communications,
2004) by James P. Cramer and Scott Simpson.
Architect’s Essentials of Starting, Assessing and Transitioning a Design Firm (The Architect’s
Essentials of Professional Practice) (Wiley, 2008) by Peter Piven, FAIA, and Bradford
Perkins, FAIA.
5.4
Firm Growth and Development: How to
Build a Creative Culture
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Kirsten R. Murray, AIA
This article focuses on how to cultivate and maintain excellence in a firm as it
grows and develops. The importance of core values, organizational structure,
firm culture, and balanced leadership is discussed.
IN TR OD U C TI O N
At the core, a strong set of skills
and a mutually agreed-upon
belief system are critical to
maintaining a culture of
excellence
Most firms begin very small, as entrepreneurial architects practicing on their own or
as partners working in collaboration. After an initial start-up phase, founders who are
successful in establishing a reputation for excellence will likely have an opportunity to
grow their firm. If growth is managed well, the firm will be able to maintain the intensity and creativity typical of smaller practices while adding the resources and capabilities
characteristic of larger firms. To maintain a culture of excellence during and after the
transition to a larger practice, firm leaders need to be mindful of critical decisions that
will define the quality of the firm’s work: its culture, its people, and its legacy.
Some firms are founded by talented, driven sole practitioners, while others begin
with small groups of like-minded colleagues seeking professional independence, oftentimes as offshoots of other organizations. In each case, the founders bring their experiences and preferences with them.
The growth of a firm can be reactionary—changing in response to immediate
opportunities or a crisis—or it can be highly strategic, designed with the intent of
achieving sought-after goals. In either case, taking time at frequent intervals to understand the drivers that underlie change and growth is critical to the development of the
firm, as are planning, research, and analysis. This approach provides opportunities to
assess effectiveness, observe results, and course-correct when necessary, enabling the
firm to navigate change gracefully.
TH E BAS IC S
To be successful, all firms need to address, and periodically review, the basics of running
a practice—from getting the work, executing the projects, and handling administrative
tasks to adopting a vision and core values. Whether they are two-person firms just
starting out, midsize firms with a well-established record of achievement, or internationally renowned firms, this is essential to maintaining the health of the firm.
The Firm’s Shared Vision
Most firms that establish a successful growing practice have, at their core, a strong set
of goals and values and a clear vision of the workplace culture they want to cultivate.
Kirsten R. Murray is a principal and owner at Olson Kundig Architects, where she started as
an intern in 1989 when the practice was a 10-person office. She acts as both design principal
and president of the 100-person firm, now in its fifth decade.
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Strongly held and shared values serve as the touchstone for decision making and relate
to every aspect of the practice. While some strive to design highly recognized and
published “critical work,” others place a high value on serving the local community and
providing a broad range of services. In some firms principals seek to position themselves as thought leaders in a specific practice area, and some choose to strike a balance
between achievement in practice and academia. From the sole practitioner just starting
out to the 100-person practice, leaders of firms that grow successfully know that all
decisions about growth must rest on the foundation of their vision and be aligned with
their values.
Firm operations are a direct outgrowth of a firm’s values and vision. These include
level of risk tolerance, expectations about work-life balance, and a desired workplace
atmosphere, both physical and cultural. As a firm grows, established norms in these
areas need to be maintained, but with flexibility, so that the firm responds to the changing needs of the practice. Open forums that empower staff to discuss values and priorities help these operational and cultural aspects to be continually updated and
understood firm-wide.
Balanced Leadership
Leaders thrive when they contribute complementary skills and also have the ability to
work in a highly creative and integrated way. Successful firms are likely to be founded
by people who have the skills and desire to seek out and cultivate clients. These individuals might also possess a well-rounded set of design, technical, and management
skills. However, growing firms benefit from the teamwork of multiple well-rounded
people.
As part of the planning for firm growth and development, consider the skills within
the firm’s leadership group, develop agreements as to the way the group will work as a
team and, if needed, look for ways to supplement qualities not yet present. The best
practice for cultivating creativity and excellence is to cross-fertilize the office with team
members who bring multiple strengths, adopting specialized or highly specific roles
only when the need becomes truly evident.
Getting the Work
All architectural firms begin as entrepreneurial entities. It takes a combination of confidence in an excellent product and tireless enthusiasm for telling its story to convince
clients that a particular firm is best for their project. A range of different but complementary strategies can help build the professional and client relationships needed to
foster a steady flow of the right type and amount of work to provide continual opportunities for a firm.
Initially, a firm may be able to rely on the skill and personal connections of key firm
leaders, but as a firm grows, it is no longer the sole responsibility of one or two leaders
to garner work. Increasingly, the effort will need to be supported by business development specialists and by staff who are able to nurture strong relationships with consultants, other organizations, and potential clients.
As a firm grows and begins to pursue work in increasingly competitive arenas, the
training and coaching of staff becomes even more important. Skills in visual, written,
and verbal communication, as well as in strategy and negotiation, are critical tools, and
staff development can be provided internally or with the help of outside consultants. It
is also important to identify and cultivate appropriate ways for staff to participate in
business development. Often referred to as the seller-doer model, this approach helps
a firm retain highly motivated individuals and increases the likelihood that the firm
continues to succeed.
The power of No: Not all business is good business. Sometimes, the best choice
for the firm in pursuit of new business is to say “no” to a prospective client. Turning
down a project is often a difficult decision for seasoned veterans; it can be an excruciating
▶ See Developing Marketing
Strategy (6.2) and Networking
and Business Development (6.4)
for information on project
acquisition.
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decision for new firms or smaller firms looking to grow. But if the client is not right for
the practice and doesn’t share the firm’s values and the work isn’t consistent with where
the firm wants to go, there is a risk of allocating precious resources that could be better
used elsewhere—and ending up with both the firm and the client dissatisfied.
The empowerment of Yes: The firm’s vision, values, and goals should guide decisions about the clients and projects that best suit the practice and provide the right
challenges and learning experiences for growth. This is especially important for smaller
firms with limited resources, but it is true for all firms, regardless of size. Nothing is
more empowering, fuels creativity more, or provides more long-term satisfaction than
staying true to the firm’s vision and saying “yes” to clients and projects aligned with the
firm’s values.
H ANG AR 41
We have three principals and eight associates. By design,
we created an office environment that could thrive on collaboration. One key ingredient of collaboration is equality. If
one person makes all the final decisions, you close off the
creative process and the ability to brainstorm fades away.
That’s one reason for the two-tiered hierarchy. Another is staff
motivation and personal accountability. In the typical firm
model, it takes years of dedication to earn responsibility at
an associate level. It’s a coveted position, and people sometimes do what they can to jump up the corporate ladder at
any cost. In our model, there are only three principals, and
no plans to add more without substantial growth or expansion. There is no motivation to gain a more prestigious title.
So what happens to the motivation? Money is typically one
motivator.
If you bring work into the Hangar, you earn a substantial
bonus based on the revenues generated by that project. Our
philosophy from a management perspective is that 11 rainmakers are better than one. We also run weekly meetings
using parliamentary procedure to keep order. Everyone at
Hangar has a stake in the business, not as a direct owner of
the LLC, but in profit sharing and voting power. This is where
recruiting becomes very important. It’s critical that your staff
shares the same values in design and practice, is entrepreneurial in spirit, and has an incredible passion for architecture. How the team works together is more important than
any one individual. Parliamentary procedure works amazingly well when you find a group of people with the same
passion and focus on what they are trying to accomplish
together. Ninety-nine percent of all our votes pass unanimously. Believe me, if you put 11 talented and passionate
people in the same room together day-in and day-out building a company, and give them all a voice and the power to
influence decisions, you had better be prepared for some
fireworks. It keeps us on our toes, and pushes us further outside our comfort zone. We believe in developing wellrounded architects. Each person is actively involved in
marketing, financial decision making, business development,
design, and production. Giving everyone the full picture
helps us make the best decisions together.
Buddy Poppitt, Principal, Hangar 41, LLC
Project Execution
▶ Professional Development and
Mentoring (8.4) addresses
training, mentoring, and
appraisal programs that support
a firm’s strategic plan.
218
Every firm must establish expectations and maintain methods for excellence in the
quality of delivery for the services it will provide, from understanding building science
to knowing how to assemble a solid set of construction documents and specifications.
The distribution of design, technical, and production work in a smaller firm is usually integrated, often with the same people doing all tasks from the beginning to the
end of the project. Ideally, a similar level of integration should also be the goal for a
growing firm, though the way this is organized will need to evolve. In a small firm, one
or two leaders can typically oversee every aspect of project execution and can continually guide other staff members to meet their expectations.
Growing firms, on the other hand, need more structure in order for quality expectations to be widely understood by the staff. This will require that mentoring and
training practices are put into place to allow staff to succeed. It also means that structured methods of reviewing work for completeness and quality must be developed.
Firm and project leaders also need more formalized ways of remaining integrated
into the execution of the work. This is critical to assure quality because demands on
Organizational Development
• Maintaining small teams, where experienced staff can provide direct feedback and
oversight to other staff
• Group review or discussions, critiques, and pin-ups to engage all firm members in
dialogue and learning from others’ experiences
• Peer review by individuals within or outside of a firm to solicit input and analysis
from people with fresh perspectives
• Creating shared resources, including written and Web-based guides, to document
lessons learned and best practices
• Formalized oversight processes where more experienced people are assigned to
provide quality assurance horizontally across the body of a firm’s work
Unless a firm is very large and has had time to develop a sophisticated network of
specialists and production strategies, it is best to assume that getting the most experienced and diversified types of input and frequent review (i.e., eyes on the work) will
increase its quality.
As a firm grows, it becomes increasingly important to identify individuals who are
leaders in the areas of technical execution and project delivery, and to recognize their
achievements and reward their efforts. Success in project acquisition and design is
sometimes easier to see and more often rewarded in the industry. However, the firm’s
technical expertise must be highly regarded, and experienced people retained and nurtured, or the results can be very detrimental for the long-term survival of the practice.
▶ Origins and Development of
Quality Management (12.1)
provides an overview of quality
management as a system that
improves a firm’s performance.
Firm and Project Management
Management is the system of processes and tools—the circulatory system for the practice—that keeps the office and the projects running smoothly together. While small
practices can often navigate their way through the day-to-day operations using common sense and good judgment, larger firms require more intentional behaviors. Management systems, from the tracking of project budgets and schedules to the overall
strategic direction and governance of a firm, must be put in place. At every stage in its
growth, it is critical that a firm’s management practices align with its larger values.
Successful management should be integrated into every aspect of the practice. It
need not be seen as opposing or inhibiting the delivery of excellence, but, rather, as
making excellence more likely. As with technical or project delivery, few firms succeed
without an appropriate understanding and recognition of the value of management
systems to the overall practice.
Both firm management and project management can be approached as centralized
or collectively held responsibilities. Management-savvy design professionals can perform all these functions. But as a firm grows, certain aspects of management should be
delegated to people with training in business management or finance, who are also
attuned to the nuances of design practice.
To foster excellence and success as a firm grows, management skills should be
taught to young practitioners with the same level of rigor and quality expectation as
are matters of design and building science. Understanding and appreciation for management issues improves team dynamics, communication, and collaboration with clients and consultants. At some level, everyone in the practice is responsible for
managing some aspect of the firm or its projects, if simply their own tasks.
Financial, Legal, and Administrative Tasks
All firm owners face the need to oversee the financial, legal, and administrative aspects
of their practice. Small-firm owners usually choose to undertake these tasks themselves,
supported by outside attorneys, accountants, and other specialists as needed. As the size
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the time of the firm’s leaders increase as a firm grows. Depending on the nature of the
practice, the level of complexity of the work, and the client type, this integration can
be achieved in several ways:
▶ Office Administration (5.10)
discusses personnel, procedures,
and processes that improve the
efficiency and quality of services
of the entire firm.
of a firm increases, many firms find it advantageous to build an internal team to provide
these services, and use outside consultants for advice and strategy.
As a firm continues to grow, administrative staff may evolve from generalists to
more specific roles, requiring more specialized training. Like any business, defining
communication systems and clarifying the flow of work between administrative and
project activities protects against wasted time and frustration.
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Managing Work Flow
▶ Navigating Economic Cycles
(7.1) discusses the construction
industry’s ups, downs, and
impact on architects.
Assuring a manageable flow of work, not too much or too little, is one of the most challenging aspects of growing a firm. Poor planning or an unstable work flow can lead to
wild swings in workload that could necessitate rapid cycles of hiring and firing. This
creates job insecurity and can make it difficult to retain valued staff and build on institutional knowledge. There are a number of software tools and systems designed to
assist a firm in tracking and studying work flow, such as Newforma for project management or Deltek Vision for accounting and business development tracking. As a firm
grows, such tools will become increasingly important.
Even when a firm has an abundance of work and growth prospects look promising,
it is generally advisable to employ the smallest workforce a firm can confidently support. Look for ways to maximize productivity before making new hires, such as staggering project start-up schedules or subcontracting production. This way, growth can
be approached in an intentional and strategic way. Rapid growth without careful planning can strain a firm’s systems and compromise quality. In addition, over-hiring can
lead to poor business decisions such as indiscriminately taking on the wrong projects
for the sake of “feeding the beast.” This is seldom a recipe for excellence.
Similarly, it is important to plan for temporary decreases in workload. If a firm has
planned well, and is financially healthy and optimistic about future work, it can use slow
times very strategically. “Found time” as a result of fewer projects can be used to focus
on internal projects, getting organized, and tending to long-term initiatives like education or research and development. For firms with less financial cushion, it is often
possible to work with staff to negotiate some level of short-term cash flow relief
through reduced work schedules, furloughs, or job-sharing situations.
However, if a decrease in workload appears to be a long-term situation, it is in the
best interests of a firm to downsize staff, sometimes at every skill level in the firm. This
should be done with sensitivity to individual situations but also with an eye to the
overall health, needs, and skill diversity of the remaining staff in the practice. Frank and
open communication with staff as these situations arise is the best policy. Best practice
is to remember that staff members are highly trained professionals who deserve to hear
information that impacts their futures as soon as decisions have been made.
F IRM ORGA N I Z ATI O N A L S TR U C TU R E
Assuming a firm has the basic skill sets of design, management, and technical execution,
a shared system of values, and a vision for what it wants to be, there are still many
things to consider as a firm grows and develops. As with any gathering of people, firm
leaders will need to agree on a way to organize as the practice grows, all the while being
mindful of the intellectual and creative community they hope to establish.
The relationship between organization and creativity is nuanced and complex. Creating organizational structure for an evolving firm is more an art than a science. Some
organizations can have a very rigid, ordered system and produce high-quality, creative
work. Others can be very egalitarian in their organization, yet do uninspired work.
More often than not, for most firms, there is a healthy balance somewhere in the
middle that works. A growing firm is advised to walk a fine and well-scrutinized line
between creating the collective order needed to be effective and maintaining the high
level of individual freedom generally sought in creative occupations.
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Ownership Structure
From sole proprietorships and partnerships to corporations, ownership structure
is one of the first decisions to be made in new firms and one of the most important,
as it will shape the nature of a firm’s design community. Many firms begin as sole
proprietorships, with all decisions remaining in the hands of the owner. And while
many firms often remain sole proprietorships, there can be benefits to expanding
the ownership structure to a partnership or corporation as the firm grows,
including:
Increased flexibility in ability to serve clients
Ability to develop specialties or areas of expertise
Financial stability for the firm
Greater capital resources available to the firm
Shared responsibility, risk, and reward
Greater growth opportunity for key staff
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•
•
•
•
•
•
Owners can be staff that have been identified and promoted from within. This can
create a healthy culture where key staff members have incentive to stay and lead the
practice when they have achieved professional maturity. However, keep in mind that
the criteria for partnership are likely different than that for an excellent project lead.
As well, the generational needs of the firm should be taken into account, and partnership decisions made with a view to the ongoing success of the firm. It’s important to
develop a clear understanding of both the firm’s short- and long-term needs when
making this important decision.
Owners can also be individuals with strategic skills that are solicited or brought
from outside the firm. As firms grow, it can become increasingly advantageous to
broaden the skills and services of the firm by partnering with individuals that have
other skills, or can expand the firm’s client base.
Sometimes the merger or acquisition of firms with complementary skills can provide stimulus to the practice. This sort of change can be challenging to any established
practice, and care should be given to the careful planning and communication of the
process to employees and clients.
In all cases, when dealing with partnerships, corporations, mergers, acquisitions, or
other forms of structure that involve more than one owner, to succeed, partners must
be able to:
• Identify and articulate a mutually agreed-upon vision for the firm and agreed-upon
roles for each of the partners or owners.
• Establish a partnership agreement including guidelines for governance, methods of
conflict resolution, agreed upon code of conduct, confidentiality requirements, and
terms of separation.
• Identify an ongoing process for leadership cultivation and a structure for leadership
transition.
Beginnings of Structure
Many small and newer firms tend to resemble traditional master and apprentice
arrangements. There is the founder or boss, the apprentice, and perhaps a few staff
members in between. While the group may enjoy the simplicity of this structure for
some time, as the work becomes more demanding, the hours longer, and the levels of
proficiency more equal, the midlevel staff may be the first to request more clarity in
roles. It is likely they will be seeking more responsibility and craving the recognition
that might come with a title or perhaps a larger paycheck.
In dealing with firm structure, it is difficult, and unwise, to ignore these basic needs.
Few businesses succeed without establishing a correlation between risk and reward,
experience and pay, accountability and opportunity. This is especially true when the
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221
H OW FL AT ARE WE?
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T HINK OF T H R E E H Y POT H E T I C A L WOR K PLAC ES
AND TH E I R T Y PI C A L OR GA N I ZAT I ON AL
S T RU C T U RE S .
• An urban hospital: Each worker has highly specialized
training and correlating authorization to do a particular
set of tasks, with everything from pay to social status
dictated by their qualifications, training, and authorized
decision-making latitude. Carefully prescribed methods
of client care and engagement, and routinized
procedures, punctuated with highly regulated oversight
from superiors and administrators, are expected. Lives
and livelihoods are at stake.
• A high-tech gaming start-up: Such companies often
embrace a “flat” workplace structure (no titles, no offices,
minimal administration) to enable and encourage people
to work with relative independence and egalitarianism
towards a marketable goal (the creation of a gaming
product) set forth by the leadership. In this structure, there
is a lucrative reward system for the highest-achieving,
those that crack the code to success; and a guarantee of
rapid replacement awaiting the underperformer.
• A college within a university system: In this situation, there
are a few individuals who act as administrators, working
toward established university and industry guidelines.
There are professors who set forth the expectations for
performance and develop a curriculum for the students,
assisting them through their instruction and guidance to
achieve these expectations. There are also teaching
assistants and senior students who serve as mentors. In
the end, the quality of the student work is a tribute to their
own talents as well as the supportive structure set up by
the administration, professors, and teaching assistants.
While none of these examples are entirely adaptable
to most architectural practices, consider the outcomes that
would result from each if it were considered as a model for
practice in a firm.
The highly structured hospital model would likely
result in an efficient, productive workplace capable of
generating a high quantity of carefully executed work in
a known arena. But there are likely fewer creative
opportunities for the individual expression or personal
investment that can set a firm apart from its competition.
Also, it is likely that entrepreneurial personalities
would tend to avoid such a structure, and that
retaining talented and committed staff would be a
challenge.
The entirely flat structure would conceivably offer the
inverse of the pros and cons of the structured hospital
model. It is likely that some significant strides could be met
in areas of innovation, and the most entrepreneurial and
confident of the staff would likely feel stimulated by the
professional freedoms and opportunities experienced.
However, it is difficult to imagine that the firm would be
successful in keeping long-term senior staff, which would
inevitably be strained to find, train, and manage a
potentially undisciplined, highly competitive, and loosely
trained workforce.
The college, perhaps, is the hybrid of these systems. In
the best schools, as in the best workplaces, individual
enthusiasm and passion are encouraged in a collegial
atmosphere, and helpful guidelines and curriculum are put
into place, along with an administration that brings
governance and a faculty that brings specific occupational
or subject matter knowledge to the group.
fees for professional services that are established in the market link directly to experience levels and titles set forth as industry standards.
However, depending upon the nature of the work and the goals of the practice,
there can be detrimental effects that come from the push to create a tiered organizational structure. Problem-solving ability, creativity, and enthusiasm are often the strongest assets of junior staffers, for whom the right balance of encouragement and
oversight must be provided to keep them motivated to stay with the practice. This is
especially true in an environment where technology and social media enable less
dependence on businesses for employment. Even as firms struggle to adjust to an
unpredictable economy, they must provide the stable and supportive environment
needed to build loyalty in a young and potentially entrepreneurial workforce.
Teams and Depar tments
There are a number of different general organizational attitudes that any business
or practice can take, ranging in the degree to which hierarchy and definition of
roles within the overall workplace are identified, maintained, or valued. Specific to
growing architectural practices, there are a number of organizational models that
prevail in the industry, and countless variations that occur within these models. As
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with all other business decisions, it is wise to consider the impact that any structure
will have on the culture and business. Think about what sort of culture a firm wants
and how it needs to support this in everything from workspace design to business
organization.
Shared Studio/Team-Based Organization
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In this model, the principal or principals may work individually or collaboratively to
bring projects into the office and oversee them. They share the resources of a range
of professionals who are assembled as skills and availability allow. The staff might
work freely among the principals, and across the range of projects in the office. This
is a common structure for small and midsize firms that do projects of a specific type
(everyone knowing the work) or projects that are similar enough in type and scale that
people can conceivably succeed regardless of their assignment. It is also common in
this sort of environment for a project team to work from beginning to end on a particular project and to do a wide range of tasks related to design, management, and
execution.
The benefits of this model include flexibility to move staff freely to the work as it
comes into the office and cross training of staff by working on the widest range of
projects and with the widest range of people. This can impart a general sense of opportunity and professional freedom to staff. Also, working with various firm leaders creates
a stronger sense of common purpose, and shared mentorship. This shared, generalist
studio model may have a number of people who work horizontally across the office to
provide continuity or specialist support, and this is somewhat required at a certain
scale. Larger firms that maintain an open studio model may find it helpful to adopt
cultural practices to make sure people feel like they have a network within the larger
group. Many high design firms are organized this way.
Once a firm grows too large to maintain a shared studio format, or begins to do
projects that require a high level of specialized knowledge, it is natural to look for ways
to create distinct studios within the larger practice. These studios serve the purpose of
creating smaller intellectual communities within the office that act somewhat independently of the others, but share administrative resources. Depending on the particular
characteristics of the workload and office, there are several typical ways for studios to
be organized.
Studios Organized by Discipline
In a multidisciplinary practice it is common to see separate studios emerge around a
discipline, such as urban design or interior design. This allows for variations in organization and business methodologies to emerge around best practices in each area.
Typically each discipline-based studio has its own leadership and staff structure, and a
somewhat individual vision for their department. Many firms in this vein rely on their
complementary strengths and pursue and execute work together, as well as independently of each other.
Studios Organized by Project Type
Similarly, firms that engage deeply in a number of specific project types may find it
useful to create studios focused on one or more similar building types: education, high
rise, and hospitality, for example. The boundaries of these studios can be very fixed, or
more permeable to allow people to move between studios if they possess the right type
of experience. Typically this format is desirable for firms trying to attain deep expertise
in specialized areas of design, and for those staff people who have a profound interest
in a particular aspect of the field. The downside of this arrangement is the possibility
that staff will become too specialized or “pigeonholed” in a particular subset of the
work of the office. Sudden changes in the economic market might affect studios to
different degrees and lead to an uneven distribution of work in the office, which can
strain relationships and morale at all levels.
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223
Studios Organized by Principal
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Some firms organize themselves by creating studios around one or more principals,
with a number of staff dedicated to working closely with a particular individual or
subset of a firm’s leadership. In this method, the size of a firm often correlates directly
to the number of its principals, who often work rather independently in the direction
of their particular subset of the practice. This can stimulate robust mentor and mentee
relationships and further a firm to the goal of creating well-aligned teams. Conversely,
the overall office itself may struggle to develop and maintain office-wide standards that
work for everyone, and can even become competitive if performance expectations seem
unevenly met. The degree to which an office will work harmoniously in this organizational pattern is linked directly to the synchronicity of the principals and the strength
and clarity of their shared vision.
TH E MAK IN G O F A C R E ATI V E C U LTU R E A N D A LEAR NI NG
C OMMU N I TY
Regardless of the organizational structure of a firm’s practice, its size, or the types of
projects that are the foundation for its growth, the strength of the collective intellectual
and professional community a firm is able to create is perhaps the most significant
contributor to the firm’s overall growth, development, and long-term success. Firm
growth that is inspired by a creative culture and fueled by a learning community provides opportunities for the creation of a thriving practice that are far greater than the
sum of any of its parts.
The People
▶ Recruiting and Hiring:
Strategies and Methodology
(8.3) discusses the research and
strategic approaches that can
help a firm attract and retain top
talent.
▶ See Intern Development (3.2)
for further discussion of the IDP as
an important component of the
licensure process.
224
The most important aspect of creating sustainable growth for a firm lies in hiring,
cultivating, and promoting the most capable individuals a firm can find. It is critical to
secure people who are both talented and share the values of a firm, to give them a
reason to want to work with a firm, and to value their contributions. Interns, with their
energy, boundless enthusiasm, creativity, and highly developed technical skills, are one
of the most important sources of talented staff for firms, whether they are newly formed
or more established practices.
Intern Development. Every firm benefits individually and industry-wide by paying serious attention to their role in the stewardship of people joining the architectural
workforce. The step from academia to practice can be a high one. It is in everyone’s
best interest to create a supportive work environment where entering professionals can
continue to learn the aspects of practice, while bringing their new ideas and skills to a
firm. While many learn from being “thrown into the deep end,” it is helpful to pay
attention to the special needs of the intern and to stay abreast of current NCARB’s
Intern Development Program (IDP) requirements and guidelines. Firm leaders have a
profound obligation to make the best attempt to align interns with situations where
they are likely to receive mentorship and guidance. Interns increasingly bring highly
valued technical and graphic skills that are immediately useful to a firm, but it is equally
important to consider the wider range of skills they will need as their careers progress
over a number of years. Make sure they are gaining a broad range of skills that will
allow them to move successfully into increasing levels of responsibility.
Interns looking for their first experience should look for a firm where emerging
professionals have successfully matured and progressed within the firm based on
knowledge they have acquired there. Employers should consider how to create opportunities for interns to present their ideas or continue research initiated in school. Make
young professionals part of the intellectual and social fabric of the office and extend to
them the same level of professional courtesy that would be extended to other colleagues. Too often, the intern experience is poorly considered, and interns may find
themselves in frustrating dead end positions or junctures in their careers. If this time
Organizational Development
is well managed and guided, an intern could mature to be a loyal employee and a future
leader of the firm.
Practitioners should also avoid exploitive employment practices and be aware of
the guidelines set by the AIA, state and federal governments with relation to paid vs.
unpaid internships, and correct procedures for hourly and overtime pay.
The Learning Community
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The importance of community and education is relevant beyond the intern phase and
extends throughout an architect’s career. A firm that seeks long-term success is wise to
think of its workplace as a creative learning community. This means frequently assessing the overall collective dynamic of the office, its systems, and its culture, as well as
continually renewing the commitment to the ongoing professional development of
each individual in the practice. A firm should act as a framework for the continued
growth of each of its members.
The Collective
The best firms are those where people are buzzing with excitement about the work
they are doing work in a collaborative setting to deliver the best projects. The office,
as a whole, can be an enthusiastic environment where people are encouraged to engage
in open, constructive communication and knowledge sharing. While leadership is an
important part of this equation, as a firm grows, it can be helpful to build opportunities
for collaboration into the rituals and culture of a firm.
Cultural practices that stimulate enthusiasm, growth, and community:
• Create a shared dialogue about lectures, classes, tours, etc., in the community; consider an event calendar or e-message board to share this information.
• Encourage staff to share lessons learned from their academic studies and travels.
• Create a forum for lectures and discussion groups to share best practices internally.
• Invite other local colleagues to speak to the firm about their work and ideas.
• Support participation in learning forums provided by the local AIA and other
groups that exist in the area.
• When possible, allow staff the flexibility to pursue teaching, research, or volunteer
community outreach.
• Celebrate success collectively, acknowledge special events in the lives of the staff,
and have parties.
• Ask the pros: Seek support from those trained in areas of organizational development (management consultants) and human resource management (facilitators,
coaches) to work with a firm to assist with leadership training, team building, and
change management.
The Resources
In addition to the general attitude and tenor of a practice, it is also important to recognize the importance of supportive resources, both human and physical, as a firm
grows. Antiquated methods and procedures, coupled with inadequate systems, equipment, and facilities, and a lack of support staff, strains and inhibits the potential of a
firm to do its best work.
• Review financial and legal procedures every year or two, with the assistance of outside consultants as needed, to make sure a firm is aware of changing industry standards and the latest business tools.
• Look at how a firm supports administrative needs in the office. Is the billable professional staff burdened by tasks that could be better performed by others? As a firm
grows, be mindful of milestones where it might be wise to introduce administrative
support staff.
5.4 Firm Growth and Development: How to Build a Creative Culture
225
• Assess the physical plant, and make sure the firm is maintaining its own standards
for design, comfort, and usability. Make the space as flexible as possible to accommodate fluctuations in the size and needs of the staff, but avoid making commitments to too much space, especially with the possibilities today of teleworking and
virtual teams.
• Don’t ignore the costs of doing business in the digital age. Establish a calendar of
renewal and replacement of communication infrastructure, computers, software
upgrades or licenses, and personal devices, and plan for these expenses.
The Individual
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People who are attracted to and succeed in acquiring the training needed to enter the
fields of architecture and related professions are generally intelligent, ambitious, talented, and hard-working. They are also frequently motivated by the belief that they
can make a difference in the world, and look forward to working in a creative, communicative environment with like-minded individuals, where their contributions will
make a difference. With the realities of any business, including deadlines, budgets, and
complex tasks, requiring painstaking and reiterative work, it is all too easy for most
busy and successful offices to take the softer issues of firm culture and personnel development for granted. As a firm grows, it becomes increasingly important to be vigilant
in establishing and maintaining a cycle of thoughtful review of each staff person and to
give them timely performance feedback. A firm should also do what it can to align
employees with educational and project opportunities that allow them to grow with
the firm.
While professional continuing education is equally the responsibility of the individual, a growing firm benefits from supporting this process. Maintain an open dialogue with staff about what activities will be paid for or hosted by the office, and which
are considered to be extracurricular or volunteer. The goal is to create a culture where
there is mutual investment between people and the practice.
Examples of practices that cultivate the individual:
• Create a system of formal reviews to gauge progress against understood goals, and
encourage immediate feedback, including both constructive criticism and praise.
Don’t let perceived weaknesses in performance fester, but provide interim feedback
in a timely manner.
• Look for ways to let people shine, and to develop their own voice in the practice.
Create opportunities for individuals to discuss or present work to the office and to
clients.
• Be prepared to talk about long-term personal and career goals. Be open about planning for the future.
• Allow people to have input about issues related to the firm as a practice and include
staff in planning for the future.
• Allow people to fail in an atmosphere of safety. Celebrate lessons learned by discussing mistakes and solutions openly.
• Acknowledge the contributions of people with specialty or technical knowledge.
• Allow for healthy competition: Host in-house design competitions, provide special
opportunities and rewards for people doing exemplary work, and make this visible
to others.
C REATIN G A LE GA C Y
The most successful practices, whether they are small or large, eventually become
organizations that are greater perhaps than the talents of any particular individual.
They can shape the industry and practice by their leadership in design, research, and
service to the community. As the practice grows to a stable, mature entity, its leaders
must become articulate in communicating the institutional values to others, and to
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Organizational Development
maintain, refine, and reinvent them as necessary through transitions in its leadership
and business focus. These values must become the norm for decision making if a firm
seeks to maintain a culture of creativity, of rigor, of investment in community and
profession, and—in short—of excellence.
Actions that will create a firm legacy for the practice and profession:
PA R T 2 : F I R M M A N A G E M E N T
• Industry leadership, including giving back to the profession through participation
in education, professional organizations, research, and development
• Community outreach and membership in cultural and educational organizations
• Personal and political engagement in local, regional, national, and global mechanisms
• Leadership in political and environmental stewardship
• Leadership in dialogues that shape the environment
F or Mor e I nf o r m ati o n
Newforma project management software: http://www.newforma.com/.
Deltek Vision performance, accounting and lead tracking software: http://www.deltek
.com/.
AIA Intern Development Program (IDP) guidelines: http://www.aia.org/professionals/
idp/index.htm.
5.5
Leader Effectiveness
Peter A. DeLisle, Ph.D.
In the current design environment, the need for architect-leaders has become
paramount. This article presents a comprehensive model of leadership
development for members of architecture firms. It is a multidimensioned approach
to professional development.
T HE ARC H I T EC T AS LEADER
All architects have the potential to be leaders. The most common expectation is that
they will be technical leaders. Yet, a world driven by increasing complexity and frequent
uncertainty demands the skills and abilities of people who are trained to solve problems
and who can lead others in the search for effective solutions.
Architects are not trained academically or in their early careers to lead groups of
people and organizations. They seldom undergo formal leadership training, so many
are ill-prepared to lead projects or organizations. Too often, they are kicked off the
dock and expected to know how to swim. A less harsh image, but one equally dysfunctional, is that good architects will apply some native talent to leadership problems and,
through hard work and effort, will prevail.
Many architects have been ruined by this assumption about leadership rather than
by their own missteps, and the unfortunate result is a significant loss: They become
unhappy and marginally effective managers, sub-optimize the work of their group, and
often lose their confidence as individual contributors. The worst-case scenario is that
Peter A. DeLisle is a professor of Leadership Studies and has held two endowed chairs in
human behavior and leadership. He is principal faculty for the Emerging Leaders and Executive Leadership Programs at AIA Dallas and advisor to the Leadership in Collaborative Architectural Practice Program at the University of Utah.
5.5 Leader Effectiveness
227
they fail as managers and feel a need to leave the company, since they cannot regress
by returning to the designer or project manager role without an apparent loss of status
and dignity.
So the next question becomes, should architects strive to become effective leaders?
The answer is an unqualified yes.
REC IP ROC I TY A N D TH E C I TI Z E N A R C H I TE C T
PA R T 2 : F I R M M A N A G E M E N T
▶ See Public Service and
Community Involvement (4.4) for
more on commitment to the public
interest by being a “citizen
architect.”
Few professions combine the rigor of technical design with the aesthetic eye. Fewer
professions prepare new members with a sense of responsibility to ensure that the
outcomes of their work are both pleasing and congruent in a context. None speak to
the commitment of design to improve the built environment or the community to the
degree that architecture does. The idea that the practicing professional should commit
to a sense of duty, that the work done is respectful and sensitive to the community at
large, is a significant differentiator for architects. The need for women and men with
this predisposition is critical. It suits the architect to embrace this challenge. The next
question becomes, will they?
TH E P ROP E N S I TY FO R E N GA GE ME N T
Three overarching factors dictate an architect’s likelihood to embrace leadership:
• Are they personally inclined to do so?
• Are they prepared to meet the challenges?
• Are they willing to step up when the opportunity is presented or emerges?
The argument can be made that the opportunities exist; however, the preparedness
and inclination are a function of personal development usually not adequately addressed
in an architect’s professional training.
LEADE R E FFE C TI V E N E S S
Leadership effectiveness is a direct function of three interdependent elements:
• People’s awareness of themselves, of other people, and of the impact of their behavior on others and on situations
• Their ability to influence others’ ideas and behaviors with or without authority and
then to make decisions, problem-solve, motivate others, and balance the tasks and
relationships in an organization
• Their commitment to make hard decisions and face the risks of “doing the right
thing”
As the Leadership Effectiveness Triangle in Figure 5.6 shows, the relationship
among these elements is connected and symbiotic.
Ability
Aware
Leadership
effectiveness
Commitment
Peter A. DeLisle
FIGURE 5.6 Leadership Effectiveness Triangle
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Organizational Development
The geometry of the model suggests that all the rays of the triangle must be present to determine effectiveness. The point of each characteristic lengthens with new
skill development, and the area of the triangle grows with new capabilities and awareness. Absence of one element prevents leadership effectiveness from having a perceptible influence. More simply put, a person can be aware and able, but not committed,
causing problems to go unresolved or plans to fail for lack of support; they can be able
and committed and not aware, yielding good intentions but very poor decision making;
and aware and committed but not able, which is problematic on many levels. Ideally, leaders should master and practice all three elements.
Awareness
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Awareness is a state of consciousness—the ability to recognize the state of one’s personal awareness, one’s sense of others’ events, situations, and needs in real time. Awareness also entails the ability to assess the impact of actions on situations or people, and
the ability to be critically self-reflective. Awareness is a growth and development process and a function of direct experience, communication, self-discovery, and feedback.
Awareness depends on trust, from and of others, to sustain its growth.
Ability
Ability to lead is a function of influence. Architects rely on their ability to influence
others to get work done, since nearly every design project requires collaboration of
many disciplines and stakeholders, and accepting new or better ideas to solve problems.
Architects already possess some fundamental problem-solving skills. They are
adept at not only recognizing and describing problems but also at offering acceptable
solutions to the problematic environment. Architects also subject their ideas to a variety of tests before adopting them. Design review and feedbacks are normal activities
for project teams. Architects must also assume responsibility for the quality of their
work, and more important, recognize that their work has a direct impact on the lives
of other people in a tangible and material way. When coupled with consciousness, this
professional competence advances the capability of architect leaders to influence very
complex situations and wade into uncertain territory—with an expectation for a positive outcome.
Recognizing complexity is at the core of design leadership, since it speaks to the ethos
of architects and articulates one of the most important values of the profession. Only a
few other professions share this commitment to self-examination, assessment, and regard
for impact on others, such as medicine, engineering, law enforcement, and the military.
These endeavors depict how the influence of leadership is very clear and material.
Commitment
Effective leaders must make the commitment to assume risk and responsibility for the
outcomes of their decisions. This requires the ability to recognize and make hard decisions.
A hard decision is different from a tough decision—one made when ambiguity or
uncertainty, competing priorities or scarcities are prominent. A hard decision is one in
which the leader must act to ensure that the ethical, legal, and moral decision is made,
even if the consequences are personally unacceptable. This judgment skill is one of the
key behaviors that separate leaders from managers. It also lays the foundation for architects to assume more responsibility as the leaders of organizations.
A hard decision might need to be made, for example, when a leader determines that
a loyal and honorable staff member’s contribution is marginal or even unacceptable.
Imagine further that this person was one of the original staff members and helped build
the firm.
What does the leader do? Continuing employment communicates an acceptance
of substandard performance; involuntary separation seems callous and risks losing
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229
valuable institutional knowledge and firm reputation as a good employer. Failure to act
suggests that substandard performance is acceptable, while asking the person to leave
may result in the leader seeming mean-spirited.
Assuming that creative third-way alternatives have been explored and found
unavailable, the leader must make the hard decision about whether to ask the person
to leave the firm.
Interdependencies: Technical, Interpersonal, and Resource
Utilization Skills
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Architects attend professional school and continue their training through licensure and
continuing education throughout their careers. Technical training embraces design and
visualization from studio to charrette. Resource utilization, the functions of planning,
organizing, and controlling processes and activities, is most often referred to as management. Proposals, bids, financial models, and use of capital and human resources fall
into this domain.
However, leadership is an interpersonal skill.
For architects, much leadership pertains to influencing people and events, often
without the explicit authority to do so. This presents extreme challenges and requires
a much higher level of sophistication than the command and control models inherent
in other industries. In many instances, the architect leader must convince people of the
merits of the design, the plan, and the expected outcome, with nothing other than the
ability to persuade as the motivating force. This skill assumes even greater importance
when the increasing complexities of design, technical coordination, building performance, agency approvals, and funding are added.
Architects must actively seek feedback and information about their interpersonal
effectiveness. They must develop a sophisticated understanding of how people are
motivated and how they grow and develop in the organization. Architects must develop
and sustain conceptual flexibility, and be comfortable with change and ambiguity. They
must hone their technical problem-solving skills, but develop an equally competent set
of interpersonal skills, principally those related to communication skills.
Architect/leaders must be self-reflective and self-auditing, listening carefully and
acquainting themselves with the best practices of others. Leaders must examine their
personal values and recognize that leadership is an act of personal and professional
integrity. The consequence for compromising integrity is a zero or negative multiplier—
like the value of trust: You can be trustworthy a thousand times in a row and untrustworthy once, and the product of the equation is zero or less. The same algorithm holds
true for leadership and integrity. Once lost by carelessness, circumstance, or unwillingness to make hard decisions, the leader is compromised, and the mantle of leadership
can be lost.
C OGN ITIV E P R O BLE M- S O LV I N G
One of the most important skill that an architect must develop is the ability to solve
problems. While problem-solving is a critical capability, it is often considered simple
and commonplace. We attribute mathematics and science skill as the fundamentals of
problem-solving, and often use the scientific method as our approach. This results in
a quantifiable and material set of solutions. Problem-solving, however, is actually much
more difficult and complex. When we look at how a person formulates a problem in
their mind, we begin to see the complexity of cognitive problem-solving.
To understand cognitive problem-solving, it is important to look at the various
ways of interpreting approaches to problem resolution, and important to note that
people have a preferred problem-solving style. The problem-solving style characterizes
how a person addresses situations that need thought and an approach to resolution. A
problem-solving style is an approach that an individual has generally relied on for
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many years, and is not only the preferred style but often the unconscious choice. There
are three common problem-solving styles:
• Adaptive
• Innovative
• As a Continuum—Bridging
Adaptive Problem-Solving
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The first style is called adaptive problem-solving. Adaptive problem-solvers are people
who look for a few well-reasoned, well-thought-out solutions to problems, working
within the system. The solutions must have a high probability of being successful.
Adaptive problem-solvers are very comfortable working within the constraints and
boundaries of a system or context. They also seek harmony and positive relationships
among people. Adapters are very efficient, and bring discipline, order, precision, and
elegance to the work they do. Adapters are the people who get things done in a timely
and effective manner.
Although it is not possible to be certain, some illustrations from history might be
useful. Thomas Edison is known for a very famous quotation, “invention is one percent
inspiration, and ninety-nine percent perspiration.” Edison was renowned for his persistence
and willingness to conduct experiments until a reasonable solution came to pass. If it
took a thousand times to get the right answer, he considered the first 999 to be simply
failed experiments. Edison gave us the phonograph, movies, and the incandescent light
bulb. Unfortunately, Edison did not often see relationships between his inventions.
Otherwise, he might have invented MTV at the turn of the century. Yet Thomas Edison was amazingly creative, and very prolific within a certain domain.
Another example of an adaptive problem-solver might be Michelangelo. This is an
important example because we see Michelangelo as one of the most of remarkable artists, architects, and sculptors who ever lived, with great works such as St. Peter’s Basilica,
the Sistine Chapel, and the statue David. If the Sistine Chapel is looked at from structural
point of view, it is immediately recognizable that Michelangelo had to work in a finite
space. The ceiling had definite boundaries. Also, the medium that Michelangelo used to
paint the ceiling was fresco, which is wet plaster, necessitating quick and expert work.
Michelangelo, while lying in a semi-prone position, painted from the perspective of a
person standing on the floor of the chapel and looking up. He was able to visualize and
conceive what the picture should look like from the eyes of the viewer, not the artist.
When Michelangelo was asked how he was able to carve the statue David from a flawed
piece of marble, his simple statement was, I simply took away the parts of the statue that
didn’t belong. Was Michelangelo creative? Most assuredly. Was Michelangelo adaptive in
his problem-solving style? It appears so. It is reasonable to state that adaptive problemsolvers are both creative and efficient, striving for elegance in design and execution.
Innovative Problem-Solving
The opposite cognitive problem-solving style is called innovative. Innovation normally
is a synonym for creativity in our language, but Edison and Michelangelo established
that adaptive problem-solvers can be creative. Innovative problem-solving means that
the person looks for as many solutions to the problem as they can possibly conceive. In
general, the “more the merrier,” more is better than less. The solutions do not have to
reflect the system and oftentimes are outside the system. The innovative problemsolver breaks out of the frame of conventional wisdom very easily, often disregarding
or breaking rules. Innovators often fail to finish tasks, or are distracted easily if they see
something of greater interest. Unlike adaptive problem-solvers, innovators often create
a disharmony, show little concern for the welfare of others, and often are seen as renegade and outside of the system. Nevertheless, they operate extremely effectively in
situations that are highly uncertain or ambiguous.
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By way of comparison, living at the same time as Edison was an entrepreneur
named Nicola Tesla. He was an amazingly prolific inventor. Not very many people
recognize Tesla’s contributions to electrical engineering, or many of the conveniences
we use today. Tesla invented alternating current polyphase generators, wireless radio
transmission (think cell phones), and tinkered with batteries large enough to store
lightning bolts. Why is he not recognized? The answer is simple. When Tesla was asked
why he never wrote anything down, he tapped his temple and said something akin to,
why bother, it’s all right here.
Tesla gave us the ability to electrify a household many miles away from the power
station with his alternating current dynamo. In addition to wireless radio communication, he described television and microprocessors in the 1880s. He was eccentric, aloof,
and very difficult to work with in a collaborative fashion. Frankly, it is said that he and
Edison hated each other. Some evidence suggests that Edison blew up Tesla’s lab.
Another example of an innovator is another Italian living at the same time as
Michelangelo. We know him as the artist who painted the Last Supper and the Mona
Lisa: Leonardo da Vinci. Leonardo was extraordinary, often serving as the prototype
of the Renaissance man. When asked what he is known for, most recognize his paintings, but da Vinci was prolific in the range his interests. He was a military and aeronautical engineer, a mechanic, an architect, an anatomist, and a scientist. He also painted
and sculpted.
It is reported that Leonardo started some 400 paintings or other works of art in
his lifetime, but finished about 40. It is interesting to speculate on what his legacy
would have been like had he been able to stay on task. Leonardo was extraordinarily
creative, as was Tesla. They represent interesting examples of innovators who saw
their work outside the bounds of conventional wisdom or tradition. These contrasts
help us understand where difficulties in teamwork can exist due to different cognitive
styles.
Problem-Solving as a Continuum: Bridgers
Place innovators on one end of a continuum and adapters on the other; those who
contribute to solutions between these two disparate problem-solving styles might be
called Bridgers. These are people that see the importance of new and different ways of
approaching things, and yet recognize and understand the need for order and discipline. They can create more positive relationships between the two different problemsolving styles. They can help innovators understand the need to select few ideas, and
show adapters the importance of flexibility and willingness to embrace change. A good
example of a bridger is George Westinghouse. Living at the same time as Tesla and
Edison, he saw the merits of both of their inventions and the need for them to collaborate. He attempted to convince them to do so, with no success. He proceeded
nonetheless with Tesla’s solution. His ability to see the interdependence of their inventions resulted in the World’s Columbian Exposition of 1893 in Chicago having the
distinction of being the first large-scale electrically lit activity in the United States
(Wrigley Field was a latecomer).
Another example of a Bridger is General George Marshall. He had the uncanny
ability to balance diverse interests and was committed to the employment of people
from wide-ranging problem-solving styles to complete his mission. He was successful
in the military and as a statesman. He is largely responsible for the economic recovery
of Europe after World War II, and the relative degree of harmony in worldwide affairs
that was maintained in the late twentieth century. Had Marshall not looked for compromise, and insisted on collaboration, the world would have not enjoyed the postwar
stability that rebuilt Europe. Marshall also brokered the talents and abilities of leaders
like Eisenhower, Patton, and Bradley, who also represent variations on problem-solving
styles. Marshall was exceptionally creative in his understanding and management of
interpersonal relationships.
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Interdependence
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All three problem-solving styles have elements of creativity, and have strengths and
weaknesses. When people understand the differences in their approach to problemsolving, they can use the differences to augment and positively influence their solutions. When innovators are given the freedom to build wide-ranging solutions,
bridgers articulate those solutions, judging those most applicable to the situation, and
adapters execute a plan precisely, excellent solutions can be derived. In a critically
reflective environment, in which people recognize and understand their skills and celebrate the differences, the best solutions can be generated.
In an environment that doesn’t think about these relationships (a nonreflective
environment), great interpersonal conflict can occur. There is a real difference in the
way people approach problem-solving, and often people reject another person’s
approach because it’s so radically different from their own. In the worst-case scenario,
the Innovator thinks the Adapter never has original ideas and treats them accordingly;
and the Adapter believes that Innovators are out of control, and should never be given
any real responsibility. This can create disharmony, a tremendous difficulty since it
causes people to be unwilling to work with each other in good faith.
One of most important things to recognize is that excellent solutions cannot
develop unless all three of these elements—innovation, bridging, and adaption—are
present. The absence of one of these problem-solving styles can create serious dysfunction in an organization. And the consequences of having only one problemsolving style in an organization can be equally as damaging. For example, a design
group that is free to think divergently and try new and different approaches to the
ideas is extremely desirable. But if the group never articulates or brings any of these
ideas to closure, it is simply good at thinking, with no positive material consequence. Conversely if a group only works on a few ideas and never thinks expansively or examines the changing landscape around them, they might miss significant
opportunities.
Problem-Solving Environments and Leadership
What is known about cognitive problem-solving suggests the following: If the environment is willing to sustain many new ideas, has a reliable way to articulate them, and can
efficiently execute to plan, it will produce successful solutions. In reflective environments, where leaders are self-aware and also aware of what is happening around them,
this is the kind of organization that is most desirable, and one in which everyone recognizes the importance of their contribution.
In nonreflective environments, where there is little awareness or thought about
what is occurring in a process and interpersonal sense, innovators can become
oblivious, bridgers are highly challenged to preserve harmony, and adapters feel like
they’re cleaning up after an elephant parade all the time. These conditions often
exist when the dominant value of the nonreflective environment is what would be
called “innovative.” Fortunately, the opposite is not necessarily true. If the dominant value system is “adaptive” and reflective, lots of ideas and new and different
ways of doing things (innovation) are tolerated and recognized as important, but
not proliferated.
A think tank is the best example of innovation in an adaptive and reflective environment. The people inside generate ideas, but there’s a containment area around them so
that the proliferation of ideas does an impact the environment at large. The strategy is
to extract a few good ideas and execute to plan, expecting that the ideas have a high
probability of being successful.
A worse situation occurs when environment is adaptive and not reflective. This is
a closed system. Any new ideas are seen to be intrusive or inconvenient, or, worse yet,
insubordinate. “We’ve always done it this way” characterizes this situation. Two things
can happen to innovators in this situation: They become increasingly adaptive and try
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to fit in, or they go elsewhere to find an environment more hospitable to their approach
to problem-solving. Many start-up companies are spawned by big companies who have
rejected new and different ways of approaching problem-solving.
The example of Galileo illustrates this point. In Galileo’s time, lens grinding was a
high art, and the observation of the heavens was the cutting edge of science. Galileo
had great skill and was able to cut lenses that would allow magnification that exceeded
any current capability of technology at that time. His interest in observing the nighttime sky was greatly enhanced by his ability to magnify stars and planets and make
them much more visible to the human eye.
About 80 years prior to Galileo’s observations of the heavens, Copernicus had
postulated—in opposition to the conventional wisdom of the time that the earth was
the center of the universe and the heavens rotated around it—that actually the sun was
the center of the universe. He advanced his heliocentric theory, which was met with
some interest but no disdain. It was considered an interesting premise, but, since it
could not be proved, it was an idea without substance.
Galileo, however, developed the instrumentation that allowed observations to be
made with greater precision. The physical certainty of the motions of celestial bodies,
as determined by Galileo’s observations, made Copernicus’s theory a reality. Stepping
back, it might be argued that Copernicus was an innovator, and Galileo was the
bridger. However, the environment around Galileo was adaptive, not open to innovation, and the profession of science was bounded by the orthodoxy of the Roman
Church. Put in another way, if scientific observation contradicted scripture, it was
considered heresy.
TH E LE AD E R S H I P C H A LLE N GE O F P E R FO R MA N C E
DEV E LOP ME N T: TH E GU I LD H A LL
How leaders grow and develop follows a deliberate pathway and design. The move to
effectiveness is a function of the person’s consciousness—their awareness of the impact
of their behavior in real-time—and their competence, their ability to perform at a level
of mastery. This is the most desired state, but can only be derived through a deliberate
process of engagement and development. Crafts were sustained after the Black Death
wiped out half the population of Europe in the fourteenth century through a program
of instruction within guild halls. Novices were recruited who agreed to commit to a
program of work and service. They arrived with no knowledge and were given direct
and immediate direction but minimal feedback until they showed appropriate responsiveness. An apprentice’s level of engagement increased with increasing responsibility,
and constant feedback was provided to ensure that learning was accelerated and
embraced a steep learning curve. Journeymen were expected to work unsupervised for
short periods of time but still to seek guidance and feedback frequently. Masters were
self-organizing and self-managing.
This process did not come about by accident, and is not unlike the development of
leaders and professionals in the modern context. It requires the full engagement of a
leader in the demonstration of guidance and direction (the task) and feedback and
encouragement (the relationship). It is also tied directly to the developmental needs of
the individual or group. The leader must play the role of the taskmaster, the teacher,
the encourager, and the colleague, depending on the point of growth of the individual.
There are positive outcomes if the leader is adept at helping a person grow to a level
of mastery. The capacity and intellectual capital of the group is enhanced.
Regrettably, the absence of this commitment from a leader to respond to the developmental needs of the individual or group can result in frustration, stagnation, malicious compliance, and, in the extreme, abandonment of the task. The leader must
become adept at understanding the stage of development of a person, and respond with
the right amount of task direction and constructive feedback. This requires a significant
amount of critical self-reflection and other-centeredness on the part of the leader. It
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suggests that leaders must understand the needs of their staff and work cooperatively
to meet those needs and encourage growth. The failure to do this, or the inclination to
treat others “the way I was treated,” is problematic.
Treating everyone the same (consistently) is also a flawed approach. One should
not expect a novice to function at a level of competence, nor should one give
detailed and specific instructions to a master. The rule of thumb is to understand
their needs and match the combination of task and relationship behaviors to their
growth.
Architecture embraces this process of novice to master. The rigor of school and
the licensing process certainly speaks to the early stages of professional development
(student to intern to associate), but much of the growth is self-directed. A more
deliberate and positively structured approach would greatly accelerate competence.
This is where the emerging leader can make an immediate and significant contribution. An architect’s ability to perform is directly linked to the leader’s effectiveness in
this area.
T HE L E ADER’S ROLE IN C ON FLIC T MA N A GE ME N T
Leadership effectiveness is centered around the issue of conflict. Conflict management
is our ability to influence other people in a positive fashion, and successfully complete
the task at hand in a finite period of time. This means that essentially all work is a
conflict. Trying to get great work done while sustaining excellent relationships in a
finite time frame is an art. Many organizations are unable to achieve this.
Simply stated, conflict can’t be managed the way finance is managed. It takes
interpersonal effectiveness to manage conflict. Many organizations are completely
committed to tasks with little or no regard for people. These organizations will get
work done effectively in the short term, but have difficulty in sustaining a longterm level of effectiveness. They tend to chew up the people, or see them as interchangeable or expendable resources. Individuals sometimes also approach work
with high task expectations but with little regard for relationships. They tend to
be combative, self-centered, and unappreciative of the work that others do for
them. Some people with this inclination are simply oblivious to the impact of their
behavior on others.
Some organizations and individuals have a low-task, high-relationship orientation.
These are people who tend to place conflict avoidance and positive feelings above successful completion of the task. This can disable an organization, because it fails to get
the work done. Another approach to low-task, high-relationship orientation is seen in
organizations that demand compliance and conformance. This is not necessarily a
positive relationship, but it is one that demands a person put individual needs second
to the needs of the organization, or be concerned with “fitting in” or “not rocking the
boat.” This mindset often stifles creativity and positive feelings as much as an organization that is committed to task only.
Relationships are often critical to the functioning of an organization because the
performance of individuals is largely based upon the resolution of personal problems
and motivations. Failure to consider and recognize that these things are important will
cause an organization to collapse, perhaps due to key people leaving the organization,
often at critical times. Similarly, organizations that are too relationship-oriented, with
low commitment to task, often make for harmonious workplaces but may not be able
to produce the work effectively.
Ideally, people working in organizations need a balance between task and relationship. The best workplace is one where there is a high commitment to this balance.
People like to work hard, but also like to feel their work is valued and that they will be
well-regarded for the contributions they make. The best organizations recognize and
understand this, and build their values system and culture around the practice of a
high-task, high-relationship work environment.
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TEAMS : WH E N A N D H O W
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▶ See Project Teams (10.2) and
Firm Growth and Development:
How to Build a Creative Culture
(5.4) regarding the importance of
firm culture and best practices in
selecting and organizing teams
for project delivery.
Teams are best employed when there is too much to be done by individuals working
independently to hope for effective synthesis in a finite period of time. Teams should
only be used either when time is the key factor or the complexity of the project requires
multiple subject-matter experts, as is often the case in architecture.
There are some misunderstood aspects to working in teams that must be addressed
by leaders. First, people should only be placed on teams when their level of competence
is high and their ability to work cooperatively with others is unquestioned. High-performance teams are not a place for untested or self-interested people, mostly because
they can waste time with backfill learning or by advancing personal agendas. The effective team leader must see that all members are fully informed of the expectations of
their contribution, the relatedness of their work to other team members, the desired
methodology of the team process, and the plan of action. Teams cannot solve all problems, although sometimes they are expected to do so. Above all, members of a team
must be dedicated to the task and to other team members. Trust and acceptance is
expected, not negative conflict or strife. For example, imagine the mission control team
of Apollo 13 arguing about resources or taking a break.
DEV E LOP IN G LE A D E R S : TH E I MP E R ATI V E
Time will always be the factor that dictates how architects are trained and developed.
The challenge is to identify processes and concepts that will bring utility and pragma▶ Professional Development and
tism to the process of leadership development. It will also be necessary to determine
Mentoring (8.4) further discusses
the points at which architects should be introduced to these practices. The other, more
training, mentoring, and
complex question is: who is responsible for the growth and development of effective
appraisal programs that help to
leaders in the profession, regardless of their stage of professional status (partner, assobuild firm strength and continuity.
ciate, intern, student)?
Conventional wisdom is that one will learn from experience—hard knocks, so to
speak. Some firms, with resources available due to the scale of their operation, can
afford internal leadership development programs. All
architects and emerging practitioners, if so inclined, can
The most influential lesson I took away from the
seek seminars or self-directed online programs to augment
Emerging Leaders (EL) program is an
their skills.
understanding of the leadership qualities and
The AIA has promoted much professional developskills I had within and finding my voice. Being a
ment, as have state associations, to address continuing proyoung professional, you don’t always recognize
fessional education needs; and a few have embraced leader
when you have transitioned to a mentor and
development with commitment and continuity. For examleader within your firm. The EL program helped
ple, the AIA–Dallas Emerging Leaders Program was
me recognize that I had evolved into a different
started in 2008 and is supported by a significant number of
role. I became more aware of my influence on
firms in the region.
others and the responsibility I have to respect,
The AIA, at the national, state, and local levels, as a
improve, and value that quality.
provider of continuing education has a significant opporBeing someone with typically a soft demeanor
tunity to include leadership development in the offerings.
who never questioned or defied my superiors,
A comprehensive approach would be to include a model
the Emerging Leaders program also helped me
of professional development that includes leader effectivedevelop my voice and learn how to engage and
ness beginning in architecture school (learning about
address my superiors appropriately in situations
effective teams and interpersonal communication) and
where my role, processes, or ideas needed to be
continuing in the early stage professional certification.
understood and/or implemented. Surprisingly,
The process could be carried out through self-directed
achieving this hurdle was something senior
learning, augmented by online learning and component or
leadership in our firm was hoping would occur
knowledge community-sponsored programs. The ideal
in my situation, as they mentioned it was time for
process would be a cooperative effort between the acadme to “come out of my shell.”
emy and the profession. If treated with the degree of
—Dallas AIA, Emerging Leader 2010
interest, support, and respect that the role of architect as
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leader deserves, this effort could become a natural part of professional growth and
development.
The concepts presented in this article were developed and enhanced by support
from a grant from the Severns Family Foundation of San Francisco. This article is
written in gratitude for the exceptional regard, the insight, and the wisdom of Robert
B. Severns. The hope is that this work enhances the growth and development of architects and professional leaders.
5.6
PA R T 2 : F I R M M A N A G E M E N T
F or Mor e I nf o r m ati o n
The Management of Organization Behavior, 9th edition (Prentice Hall, 2010) by P. Hersey
and K. Blanchard.
Adaptors and Innovators (Routledge, 1994) by M. J. Kirton.
Conflict Management Style (Teleometrics International, 2008) by J. Hall.
Ownership Transitions
Michael Strogoff, FAIA
Architects are trained to design buildings and environments that nurture people
and provide value to clients. An architect can apply the same skills and intense
focus to create and nurture an architecture firm, to provide opportunities for
future generations of owners, and to support the owners as they transition toward
retirement.
A N OV ERVI EW OF OWN ERSHIP TRA N S I TI O N S
Owning an architecture firm can be tremendously rewarding. Ownership allows professionals to shape a firm around an owner’s specific interests, to pursue projects and
clients to their liking, to define how to interact with clients, and to surround themselves
with like-minded colleagues and employees.
Owning a firm is also full of challenges, and one of the largest revolves around how
to successfully transfer ownership of a firm from its current owners to others. When
owners start the process of transitioning the ownership of a firm, they must consider
many issues:
•
•
•
•
Whether to transition a firm internally or sell to an outside entity
How the changing economic and societal landscape affects timing and options
Why ownership transitions are increasingly difficult to accomplish
How to create incentives for future owners while rewarding outgoing owners for
efforts and investments
• How to develop a valuation methodology that reflects a firm’s history, intellectual
capital, and future outlook
• How to ensure that a firm’s values and culture endure as a transition is completed
Despite the many issues, crafting and implementing an ownership transition plan
is not beyond most owners’ abilities. What is needed is a successful firm to sell, adequate time, a willing buyer(s), and a good set of guidelines.
After managing a 40-person architecture firm, Michael Strogoff started advising other architecture firms in strategic planning, leadership development, and ownership transitions. Strogoff is a frequent speaker and author on succession planning and mergers and acquisitions,
and is a former chair of AIA’s Practice Management Knowledge Community’s advisory group.
5 . 6 O w n e r s h i p Tr a n s i t i o n s
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The Need for “Ownership Transition”
Architecture firms can be viewed as living, adaptable entities, responding to internal
and external forces: owners wanting to retire, key employees examining alternative
opportunities, shifting demographics, generational differences, economic and market
forces, technological changes, evolving project delivery methods, and rapidly changing
client expectations. Firms that successfully adapt to these forces can prosper through
many generations of ownership and leadership transitions.
There are many reasons to proactively plan for an orderly ownership transition:
PA R T 2 : F I R M M A N A G E M E N T
• Leveraging and perpetuating the reputation, contacts, and portfolio that a firm and/
or an owner spent decades to build
• Retaining and rewarding key employees that contribute to a firm’s success
• Broadening a firm’s skill base and service offerings by expanding its ownership team
• Providing outgoing owners income to help fund their retirements in exchange for
years of hard work and risks assumed
• Continuing to service loyal clients that depend on a firm’s ongoing operations
• Ensuring a firm’s access to professional liability insurance after an owner retires
Firms need to plan for ownership transitions throughout the economic cycles that
invariably occur. During periods of growth and profitability, firms should be setting
aside funds to at least partially fund the transition process and should be hiring with an
eye toward future owners. During economic downturns, firms should be making swift,
strategic decisions to ensure their survival, retain key staff, and position themselves to
rebound as the economy improves. For some firms, prolonged economic downturns
will diminish their staying power and create an urgency to attract new owners, to
merge practices, or to sell to a larger, more stable firm.
The Changing Landscape
For many decades it was not unusual for ownership transitions to occur with little more
than a few discussions, a handshake, and a short written agreement. The transition
choices that an owner of an architectural firm had were relatively straightforward, and
the factors influencing how a transition was structured didn’t change much. As architectural practice has gotten more complicated, new forces and factors have emerged,
which require firms to consider transition planning as an essential strategic initiative.
Shifting Demographics
On October 15th, 2007, the first baby boomers (those born between 1946 and 1964) filed
for Social Security retirement benefits, representing a milestone in the workforce. Many
firms in existence today were founded in the 1970s and early 1980s by baby boomers.
Those founders are now at or approaching retirement age. With 20 percent fewer people
in Generation X (those born from about 1965 through the early 1980s), there is significant pressure on firm owners to think about ownership transition in new ways. These
might include partially funding internal transitions through larger bonuses and deferred
compensation plans, providing greater flexibility to accommodate more work-life balance, and encouraging prospective owners to start setting aside funds to invest in the firm.
Generally speaking, Generation X and the generation behind them, Generation Y,
are more cautious and want a more diverse portfolio of investments—the days of having all one’s retirement funded by the value of one’s home and one’s business are dwindling. These generations also tend to be more focused on living a balanced life, of
which work is but one element—and have fewer financial resources to invest in a firm.
Lack of financial resources is a problem especially during and immediately after economic downturns, when salaries and bonuses have been frozen or possibly reduced.
Adding to the shortage of future owners, fewer professionals entered the profession
after each of the recessions of 1980 and early 1990s. Others left during the 2000 to 2001
dot-com bubble and bust, and again during the recession in 2008 to 2010. According to
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many firm owners, fewer of those licensed architects remaining are interested in assuming ownership. During boom times, when employees were in high demand, many
thought, “Why would I want to buy into a practice when I am making such a good living
and so many firms want to employ me?” During times of great economic uncertainty,
the prevailing attitude was, “Why would I want to buy into a firm in this economy?”
Increasing Complexities of an Architecture Practice
Economic Cycles
Architecture and construction are among the most cyclic of industries, prone to large
swings as national and global economies shift. When the economy declines, valuation
prices decrease, risk factors increase, expected payback periods increase, and ownership
becomes less desirable.
Consolidation Trends
▶ Navigating Economic Cycles
(7.1) further discusses the
construction industry’s ups,
downs, and impact on
architecture firms.
Although economic downturns generally spur consolidation, the wave of consolidation
within the architecture industry from 2009 to 2012 is unprecedented. Large and midsize firms looked at mergers and acquisitions as a strategy to expand geographically,
acquire new expertise, expand their pool of future leaders, realize greater economies of
scale, and/or simply eliminate competitors. Additionally, many larger firms are persuading their large institutional and corporate clients to centralize their relationships,
adding still more pressure to smaller and midsize firms.
On the other side, more firms are finding it harder to compete with larger or more
highly specialized firms, and difficult to fund the technology and software required to
compete effectively. In response, some firm owners are actively looking to sell their
practice or merge their practice into a larger operation. Baby boomers who did not
develop an effective internal transition plan, plan adequately for their retirement, and/
or don’t have the next generation of leaders in place are left with two alternatives: work
longer or sell their firm to an outside entity.
Transition Options
Regardless of the reasons an owner wants to sell a firm, there are two options available to
those who plan ahead—internal transitions and external mergers or sales. For owners
without an adequate transition plan, a less desirable third option, closing shop, may be the
only choice available. However, closing the doors represents a unique set of challenges:
• It is difficult and often expensive to wind down projects on different schedules.
• It is difficult to maintain employees to complete projects when it becomes known
that the firm is closing.
• Maintaining insurance to protect owners against claims of negligence is both expensive and seldom available to provide adequate protection throughout the entire
period until statutes of limitation expire.
• Depending only on savings and investments to fund retirement.
Internal Ownership Transitions
Internal transitions can take different forms: selling portions of the firm to other firm
members; recruiting senior people from outside the firm to join the firm as key employees and eventually assume ownership; or creating an employee stock ownership plan
(ESOP). As ESOPs are typically appropriate for larger firms and only under special circumstances, firm owners should engage outside accountants and attorneys for guidance.
5 . 6 O w n e r s h i p Tr a n s i t i o n s
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PA R T 2 : F I R M M A N A G E M E N T
The business and practice of architecture continues to increase in complexity as clients
become more sophisticated and demanding, new technologies emerge, and buildings
become more complex to design, document, and deliver. The knowledge and skills
required to lead a practice, even a relatively small practice, requires an ownership and
leadership team with a wider set of skills than previously needed.
PA R T 2 : F I R M M A N A G E M E N T
Benefits of selling a firm internally include maintaining control of the firm longer;
handpicking the successors; structuring the transition gradually; the opportunity to
attract, retain, and reward future leaders; a higher likelihood of maintaining a culture
within the firm; and greater client acceptance of the transition.
Challenges with internal transitions include making internal transitions affordable
and attractive to new owners; hiring and mentoring enough candidates who have the
resources, interests, and skill sets required to assume ownership; gaining the acceptance
by employees of new leaders whom they have previously viewed as peers; and allocating
the time and providing the training needed to mentor new owners. And, once an internal transition is implemented, if a firm’s profitability suffers and its value declines,
morale decreases, the ability of new owners to make payments to outgoing owners
declines, and some new owners search for an exit strategy.
External Ownership Transitions
Selling a firm to an outside entity can likewise come in two forms: a merger or a sale.
Benefits of selling a firm to an outside entity include higher sale prices; more liquidity;
lesser risk, as transitions typically occur over a shorter time frame and payments are not
U NS UC C ESSFUL T RANSIT ION
After gaining experience at a few other firms throughout his
early career, Karl Stevens decided that he would start his
own firm. He was attracted to the opportunity of creating a
firm modeled around his strong design beliefs, and was tired
of working excessive hours for other people’s benefit.
Over the years, Stevens Architects grew to 12 people,
enjoyed a steady flow of repeat clients, and produced several award-winning projects. Stevens earned a reputation
among his clients as an architect that provided exceptional
client service and produced highly responsive designs. As
the sole owner, Karl enjoyed his autonomy and received tremendous satisfaction from winning new commissions.
By all appearances, Karl ran a successful firm. Through
tightly controlling the firm’s finances, he consistently earned
profits hovering around 20 percent, and, due to the quality
of his work, had an easy time attracting staff. However, Karl
did not delegate well, and even his senior-level staff tended
not to stay with the firm for more than a few years.
At the age of 67, Karl was starting to think about traveling and spending more time with his extended family. Sitting
down with three of his senior staff, Karl informed them that
he would like to start transitioning to a less hectic schedule
and would like to offer each of them an opportunity to
become owners. Because the firm had been so profitable,
Karl told his underlings that he would offer the firm at a price
of $1.4 million, which equated to slightly more than four
times the firm’s average annual profit.
The three staff members voiced initial enthusiasm and
said that they would consider Karl’s offer. They held several
meetings among themselves. The three staff respected each
other and believed that they could run the firm successfully.
But they kept coming back to the same conclusions: Karl had
done 100 percent of the marketing and, when he retired, a
large part of the firm’s business development success would
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Organizational Development
also be gone. They were also concerned about Karl’s ability
to relinquish control. He had always controlled every aspect
of the firm, so why, they thought, would the future be any
different? Finally, Karl seemed set on his asking price, which
was beyond the financial means of any of the three staff.
A few weeks later, Karl sat down with his three senior
staff. As everyone took their places around the conference
table, the mood was sullen. They thanked Karl for the opportunity but politely told him that they decided not to purchase
the firm. Karl abruptly left the meeting, knowing that he had
waited too long to start the transition process and had few, if
any, alternatives. He also felt betrayed.
Two weeks later, the three senior staff gave notice and
set out to start their own firm, vowing not to make the firm
dependent on any one of them.
Although Karl did replace his senior staff and started
involving each of the replacements in more day-to-day decisions, he ended up working for another three years before
he felt comfortable taking more time off to spend with his
family. Finally, at age 70, Karl started winding down his
firm. He slowly reduced his staff count to align with the staggered completion dates of the firm’s projects, and awarded
pay increases and distributed occasional bonuses to those
that remained. Although it was relatively expensive, Karl
decided to purchase a tail-end insurance policy that covered his professional liabilities for three years following the
official closing of Stevens Architects. In the end, the earnings from working for an additional five years slightly outweighed the purchase price Karl would have received had
the three staff to whom he offered ownership actually purchased the firm. The trade-off for Karl, however, was less
flexibility in the timing of his retirement and greater personal risk after the tail-end insurance coverage expired in
three years.
PA R T 2 : F I R M M A N A G E M E N T
as linked to ongoing profitability; and opportunities to redefine the day-to-day responsibilities of the owners of the selling firm. In addition, the owners of the selling firm
(for as long as they remain), as well as its key employees, often benefit from a buyer’s
broader portfolio, market diversity, and access to larger clients, and therefore the
opportunity to work on more challenging projects. For owners, a major attraction of
selling a firm is the ability to get away from spending time running a business. And for
many employees of a selling firm, working for a larger firm often provides new project
and leadership opportunities.
Challenges for external transitions include the difficult and often time-consuming
process of finding a buyer with whom a selling firm shares common values, and maintaining confidentiality while searching for and conducting exploratory discussions.
During negotiations, stalemates often occur as buyers and sellers place different values
on the seller’s firm. External transitions are also more prone to employee and client
defections. Finally, for many owners, giving up control of a company they once owned
is emotionally stressful.
Making the Choice
Owners should carefully evaluate their options every few years. Some owners choose
to focus on an internal ownership transition because of a desire to see the lasting value
of the firm continue to prosper in the hands of people they mentored, and want to
reward the loyalty of key employees. Others focus on an external transition because it
might result in a higher price or because it creates opportunities to work on more exciting projects. (See Table 5.8.)
From a financial perspective, if a firm is generating above-average profits and possesses a strong backlog, an owner is probably better off implementing an internal transition plan and continuing to receive profit distributions as shares are sold. Many think
that internal ownership transitions are preferable, and probably better for the profession; this is only true if owners plan properly and are able to attract and retain younger
colleagues who have the talent, the personality, the skills, and the entrepreneurial drive
to successfully take over the helm.
TABLE 5.8 Internal vs. External Transitions
Internal Transition—Benefits
External Transition (Merger or Sale)—
Benefits
Current principals retain control longer
Higher price, more liquidity, generally less risk
Continuity of culture and values
Access to more capital
Retains and rewards key employees
Shorter time frame, faster transition
More gradual transition over longer time frame
Marketing opportunities
Clients more accepting of internal transitions
Adds skills and capacity
Ability for a seller to focus on a more fulfilling
professional role
Internal Transition—Challenges
External Transition (Merger or Sale)—
Challenges
Unproven leaders and/or lack of candidates
Difficult to find the right buyer
Candidates more risk-averse
Confidentiality
Less liquidity, more risk, longer time frame
Cultures difficult to match
Dependent on future growth and profits
Current owners giving up control
Morale of new owners suffer if value declines
More prone to employee and client defections
Need to make more affordable (incoming owners
have less money and less liquidity)
Some contracts difficult to transfer or assign,
although this is often solved through a stock
sale vs. an asset sale
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241
On the other hand, if a firm is highly desirable (e.g., it opens new markets, brings
expertise in new building types, has a large backlog, and/or strengthens a buyer’s leadership team) and can therefore command a price based on a high multiple of earnings,
an owner can realize considerably higher financial returns with much less risk by selling
his firm externally.
The important thing is for firm owners to always look ahead, so that they have
options to pursue and a plan in place when they do decide to transition out of the
architectural profession.
DEV E LOP IN G A N E FFE C TI V E I N TE R N A L TR A N S I TI O N
PA R T 2 : F I R M M A N A G E M E N T
Offering ownership internally allows an existing owner to retire or transition to
another chapter in their life in an orderly and predictable way, to recognize and retain
key people, and to pass on a legacy that they were instrumental in creating. Strategically identifying and offering ownership to hand-selected successors who possess
strong skills and special expertise also allows a firm to broaden the services it offers
to clients.
Keys to Successful Internal Ownership Transitions
• Allow ample time to implement, preferably seven to ten years before the first owner
retires.
• Consistently build value.
• Start early and communicate often.
• Ensure a common set of values and vision of the firm’s future.
• Identify, motivate, and foster the development of future generations of leaders.
• Develop an ample pool of qualified prospective owners.
• Communicate openly and objectively with prospective owners.
• Provide necessary training and mentoring.
• Give incoming owners increasing amounts of responsibility and gradually relinquish authority.
• Enable leaders to gracefully decline invitations to become owners and remain strong
firm leaders.
• Encourage ongoing communication about the firm’s value and future direction.
• Include a realistic valuation that is easily measurable, understandable by all owners,
and accounts for changes in the firm’s profitability and future outlook.
• Align incentives that reinforce the firm’s ongoing profitability, growth, culture, and
design values.
• Develop a purchase plan that is affordable to incoming owners, many of whom lack
cash and liquidity.
• Balance financial rewards to outgoing owners with maintaining financial stability of
the firm.
• Structure buyout payments to departing owners over a period of years so the firm
and its remaining owners are not overly burdened with debt.
• Establish expectations for each incoming owner, constructively evaluate each other,
and hold each other accountable.
• Encourage outgoing owners to transition out of a firm over time while remaining
available as a resource.
Before offering ownership, be prepared to address a basic set of questions, starting
with “Why should I become an owner, and what exactly does it mean?” Explain that
ownership presents an opportunity to shape the firm’s future and to have a seat at the
decision-making table, to gain access to and offer input on key financial and operational
aspects, to have a greater voice in choosing which projects to pursue and a more effective platform from which to market, and to have the potential for higher income in the
form of higher salary, larger bonuses, profit sharing, and more job security.
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Organizational Development
The four owners of Integrated Design Associates valued collaboration above all else. This was reflected in how they
involved clients in design decisions, how they governed the
firm, and how they obtained new business. The owners could
recall only once when a shareholder vote was actually taken,
as the four owners and their five associates talked through
every important issue until a strong consensus was reached.
When hiring, it was not uncommon for prospects to be interviewed by half a dozen members of the firm, including the
technical and support staff. Each of the principals was
expected to allocate at least 20 percent of their time marketing the firm.
The firm had previously redeemed the shares of two prior
owners and were nearing completion of the five-year buyout
payments. In both cases, as specified in their shareholder
agreement, 20 percent of the first two years of payments
were withheld and paid after the former owners fulfilled their
obligations to remain available in an advisory capacity.
Integrated Design Associates’ ownership transition plan
was developed 15 years before the oldest principal was due
to retire. At the time, the ages of the owners were purposely
staggered, with two in their late fifties, one in her mid-forties,
and one in his late thirties. Their shareholders agreement
valued the firm at book value plus a premium equal to
25 percent of the average net income for the preceding
3 years. This made the buy-in price affordable to incoming
owners while still rewarding current owners for growing the
firm and generating profits.
The principals sat down with each of the firm’s associates,
openly discussed the pros and cons of ownership, and developed a roadmap for each associate should he or she want to
be offered a future ownership position. The firm also implemented a leadership training program to help identify other
prospective owners and to train the next generation of leaders.
They know that it will take at least five years of planning to allow
the two owners in their late fifties to start phasing out of the firm.
Key Terms to Be Addressed in an Internal Transition Plan
Developing an effective internal transition plan is not overly complicated. There are,
however, some key issues that need to be addressed in a transition plan:
• How will the firm be governed? Specifically, which decisions require unanimous
approval by the owners, and which ones might require a supermajority or a simple
majority? Over which decisions will the current owners want to maintain veto
power?
• What are the expectations of the current and incoming owners? What are their
roles and responsibilities, and what type of leadership skills are needed?
• How many shares, if any, should initially be granted to incoming owners?
• How is the share price calculated, and how will it be adjusted each year? What happens if the future owners cannot agree on a value?
• Should the incoming owners have an option and/or an obligation to purchase additional shares?
• What are the buy-in options? For example, in lieu of cash, shares can be acquired
by foregoing salary increases and bonuses, from promissory notes (secured or unsecured), from guaranteed bank loans, from deferred compensation, or by guaranteeing outgoing owners a percentages of future profits.
• What are the buyback provisions? If somebody voluntarily resigns, are the value and
terms different from involuntary resignations or from death or disability?
• What is the time frame for selling shares? Is it going to be done over one year, five
years, ten years?
• How are profits distributed? What is the working definition of profits? With multiple shareholders, a formula or fallback option is needed for how the firm will
categorize profits and cash reserves, along with a distribution schedule for those
profits.
• What types of personal guarantees will an incoming owner assume?
• What liabilities will each incoming owner assume?
• What are the terms for noncompetition if an owner leaves? If an owner resigns,
would they be entitled to compete against the firm or restricted from competing
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CAS E S T U DY OF AN IN T ERN A L TRA N S ITIO N
against the firm, in designated markets, in specific regions, with identified clients,
and for how long?
• What are the terms for nonsolicitation if an owner leaves? If an owner resigns,
would they be entitled to solicit employees of the firm or restricted from soliciting,
and for how long?
Potential Concerns of Prospective Firm Owners
PA R T 2 : F I R M M A N A G E M E N T
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What does firm ownership really mean?
What will be my role and responsibilities, and how do they differ from my current role?
Are my visions of the firm’s future compatible with those of the current owner(s)?
Can I have a significant role in shaping the firm?
What is the long-term succession plan and how do I fit into it?
Will the current owners remain active long enough to mentor me?
Who else is being offered an ownership position, either now or in the immediate
future?
Will being a minority shareholder limit my influence?
Does firm ownership fit into my life and other interests at this point?
What about my own financial security? Will I make more money?
How much is the firm worth, and how do I know that the offering price is fair?
Can I afford to buy in?
What are the various options for purchasing my share of the firm?
What is the firm’s financial outlook?
How do I know that the firm has really been profitable?
What liabilities would I incur?
What if I invest into buying into the firm and the firm has a bad year or a stretch of
bad years?
If it doesn’t work, how do I get out?
What if I decline?
Owners need to be candid about the risks, stress, and long hours that accompany
ownership. It is an owner’s responsibility to enable a prospect to make an informed
choice. Make it clear that declining an offer for ownership is an acceptable alternative
and that there will be no repercussions. Gracefully accepting a response of “No thank
you, that is not for me” is better than having a valued employee leave the firm because
their priorities and desires for ownership differ.
Criteria for Becoming a Principal/Owner
Every firm should develop a list of traits and criteria to consider for identifying and
evaluating new owners. Here is a list to start the process:
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Shared values and belief in the firm’s vision
Ability to think strategically about the future
Client-centric focus and ability to nurture client relationships
Industry thought leader
Design, technical, and/or management capabilities
Passion for delivering high-quality services
Commitment to assume broad firm-wide initiatives and leadership responsibilities
Leadership, delegation, and team-building skills
Interpersonal skills (ability to listen, participate in intellectually honest conversations, and act on constructive feedback)
Decisiveness and confidence (taking ownership and reinforcing acceptance of decisions)
Tolerance for and willingness to assume significant risks
Trust and integrity
Discretion and sound judgment
Organizational Development
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Personal financial stability
Ability to market services and close sales
Contributions toward profitability and firm sustainability
Willingness to dedicate the time needed to address the responsibilities of an owner
SE L L I NG A F I RM
PA R T 2 : F I R M M A N A G E M E N T
Selling a firm to an outside entity can require soul-searching, time, and strategic planning. While joining a thriving firm, gaining opportunities to work on different or more
stimulating projects, and being relieved of the day-to-day financial responsibilities
appeals to some, giving up a controlling interest in the firm and working for someone
else can be a difficult choice for others.
The best mergers or acquisitions bring tangible gains to both parties and provide
greater value to the marketplace than both firms provide as separate entities. If prospective clients cannot see the value of a merger and embrace it for the added depth,
expertise, and/or stability it brings, then the merger will likely not achieve the goals set
forth by both parties. In short, approach a merger or acquisition first and foremost
from a strategic marketing perspective.
As a seller, the likelihood of attracting a desirable buyer is based on many factors.
If a firm has a unique position in the marketplace or possesses special expertise, is
sought out by clients in highly desirable market sectors, is in a region with a foreseeable
market uptick, has outstanding leadership capabilities, and possesses a solid backlog of
work, then the firm has a good chance of attracting a qualified buyer. On the other
hand, if a firm is focused on a dwindling market sector, has only a small backlog, has no
clear expertise that differentiates it from other firms in a particular market, is poorly
led, and has a recent history of poor financial performance, attracting a buyer willing
to pay anything more than a fire-sale price is unlikely. In either case, buyers will evaluate a seller based primarily on whether an acquisition will result in greater market share
and higher profits, after amortizing the purchase price, than would purchasing a different firm or growing organically.
CAS E S T U DY OF EXT ERN AL P URCHA S E
GBTH Architects garnered a national reputation for planning
and designing science and technology buildings, often teaming up with large firms across the country for highly soughtafter commissions. The three owners were comfortable for
years operating as a niche firm. They regularly spoke at conferences and symposiums that their clients attended, and
authored articles in numerous trade publications. Although
most of their teaming relationships were successful, the owners wanted to undertake much larger projects on their own.
Even though they knew that even large projects would not
require allocating more than five or six architects, they could
not persuade clients to entrust a 25-person firm with projects
that exceeded $15 to $20 million in construction costs.
The firm had been approached over the years by firms
interested in acquiring them in order to gain a foothold into
the growing science and technology building sector. GBTH
Architects always politely declined, not wanting to give up
their autonomy. As the years passed and GBTH Architects
added to their portfolio, the principals’ desires to work on
larger, more complex projects increased. When they were
approached by a well-respected firm with whom they had
completed several projects as joint venture partners, they
decided to explore a sale.
With the help of an outside adviser, they entered into a
Letter of Intent that described the financial terms of the sale,
the principals’ respective roles and responsibilities in the
acquiring firm, and, of most interest, how the combined firms
could leverage GBTH Architects’ expertise in over a dozen
new locations. Two years later, the former principals of GBTH
Architects were working on projects of a size and magnitude
of complexity that they had only dreamed of doing as a
smaller firm. Although they occasionally missed some of the
aspects of being in charge of a 25-person firm—they were
now part of a 450-person firm and had to contend with some
of the bureaucracies inherent in larger organizations—they
also felt that they were finally achieving their professional
goals. And whenever any of the principals reflected about
how their work lives changed, they were reminded of the
day-to-day distractions they had had to attend to when running their own firm.
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Strategic Rationale for Mergers and Acquisitions
There are multiple strategic reasons to investigate mergers and acquisitions; below are
the most prevalent.
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Provide added value to clients.
Acquire new areas of expertise and knowledge.
Diversify into new markets.
Service clients across broader geographic regions.
Facilitate geographical expansion.
Compete more effectively against firms with larger market penetration.
Expand marketing networks (e.g., engineers, specialty consultants, contractors) and
opportunities.
Become viable for larger and more complex projects by increased bench strength.
Leverage current leadership team, infrastructure, and intellectual capital.
Expand leadership team and create more stability/redundancy in key positions.
Enable key people to redefine their professional focus.
Share project resources, knowledge base, intellectual capital, and best practices.
Gain access to and/or strengthen marketing, management, design, and/or production capabilities.
Share workload (“in-sourcing”) and reduce staffing fluctuations.
Obtain skilled staff and/or enlarge base for recruiting staff.
Offer staff a wider variety of project choices (building types, sizes/complexity, location, expanded services).
Provide greater economies of scale and reduce duplication of efforts.
Eliminate each other as competition.
Facilitate succession planning.
Avoid the difficulties inherent in closing down a firm.
Identifying an Appropriate Buyer
The first and most important step in an acquisition or merger process is to develop a
strategic profile of the type of firm that should be targeted. Start by creating a one- to
two-page profile describing the types of firms that will most benefit from the merger
or acquisition. Analyze this from several perspectives. Determine what type of firm will
benefit from what the selling firm offers in terms of:
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Client types
Services
Building types
Design capabilities
Specialized expertise
Leadership skills
Staff skills
Portfolio
Reputation
Project delivery
Marketing skills and resources
Technology
As a buyer or a seller, a firm owner might contact directly other firms that meet
the profile, explain strategic goals, and why the specific contact is being made to determine if there is any interest in exploring a long-term relationship. After a nondisclosure
agreement, which obligates each firm to maintain confidentiality and limit discussions
to specific people on a need-to-know basis, is signed by both parties and outside advisers are engaged as appropriate, a series of meetings are conducted to discuss respective
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PA R T 2 : F I R M M A N A G E M E N T
visions, potential synergies, leadership structure, governance, and, most important, firm
cultures. The key to a successful integration after an acquisition or merger is cultural
compatibility. The only way of determining whether this exists is to get the leadership
teams together. Discretion is vital at this stage. The last thing wanted is for clients and
employees to find out that a transaction is being contemplated before both parties are
ready to disclose the decision.
Another approach for both buyers and sellers is to
M E RG E R/ A CQ U IS ITIO N S TE PS
engage a consultant who specializes in mergers and acquisitions to serve as an adviser, advocate, and guide through
• Develop a firm profile.
the process. Consultants can conduct market studies, help
• Identify potential buying firms.
develop profiles of target firms, create lists of candidates,
• Contact interested firms.
contact identified firms, introduce the interested firms,
• Explore synergies and cultural compatibility.
facilitate discussions and decisions, recommend attorneys
• Discuss framework and initial terms.
and tax advisors, and assist during due diligence and inte• Undertake preliminary due diligence.
gration. Outside consultants often have the ability to reach
• Draft a Letter of Intent or Memorandum of
a broader range of potential buyers, to provide unbiased
Understanding.
assessment of specific buyers, and to offer advice about the
• Develop drafts of Definitive Documents (purchase
current fair market value of similar transactions. In addiagreement, representations and warranties,
tion, hiring the proper consultant allows current owners to
employment agreements)
remain focused on running their business.
• Perform final due diligence.
Regardless of whether a mergers and acquisitions con• Finalize Definitive Documents.
sultant is engaged in the process, it is important to seek
• Execute pre-closing integration of firms.
• Close.
advice from an accountant fluent in tax ramifications and
• Continue to integrate firms post-closing.
an attorney experienced in the legal intricacies of a merger
or acquisition at appropriate stages of the process.
Due Diligence
Whether buying or selling a firm, conducting thorough due diligence of the other
party is essential. While some due diligence items can be evaluated by a firm’s principal
or chief financial officer, don’t hesitate to obtain outside help from a lawyer, accountant, and/or acquisition adviser to evaluate other items. The following is a list of typical
due diligence items that should be reviewed by the firm’s attorney:
1. Corporate documents:
• Articles of incorporation and any amendments thereto
• Bylaws and any amendments thereto
• A list of the directors and officers
• All fictitious business name statements filed and used
• A certified copy of good standing from the state
• A list of all licenses and permits held
• Board of director minutes for the past two years
2. Shareholder information:
• A list of all shareholders, including names, ages, number of shares held, and stock
options held
• Stock option plans in place
• A list of all stock options that have been granted to any employee that have not
been exercised
• Shareholder agreements and buy-sell agreements currently in place
• All stock redemption agreements entered into and which are still in place
3. Benefits
• A summary list of all benefit plans, including pension, 401K, medical, dental, and life
• A copy of all benefit plans and insurance policies offered to employees
4. Financial information:
• Outstanding loans or lines of credit taken
• Recent financial statements (audited, reviewed, or compiled)
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• Current accounts receivable aging schedule
• Current accounts payable aging schedule
• Promissory notes given and/or held
• Security agreements for payment obligations that are still in force
• Recent federal tax filings and returns
5. Insurance and liability information:
• Certificates of insurance for all general liability and errors and omissions policies
held
• All liens recorded against firm, including any Uniform Commercial Code (UCC)
financing statements and tax liens
• List of all insurance claims, lawsuits, mediation, arbitration, and settlement
agreements in the past five years, including the date, summary, and resolution of
the event
Integration Planning
When firms are acquired by an external group or merged with another firm, firm
leaders should craft an integration plan during the due diligence process and start
implementing the integration plan as soon as a letter of intent is signed. This integration plan should be reviewed at key milestones after the closing date to ensure that
new information is incorporated and needed adjustments are made. An integration
plan generally covers those areas that require attention and a commitment of
resources during the first year following the merger or acquisition: strategic issues,
including developing a mission statement and strategic summary about what the
entities aim to accomplish by merging; organizational structure and governance;
S ALE OPT IONS FOR T HE SO LE P RO P RIE TO R
Sale options for a sole proprietor can be especially
challenging. Frequently, these firms do not have an
apparent internal buyer, the market for external buyers is
limited, and traditional business sale transaction costs are
high relative to the size of the business. A streamlined
transaction is often more appropriate, as illustrated in this
example:
• The seller sells the firm’s intangible assets, including the
firm’s name, rights to the firm’s portfolio, and client list
to the buyer, but retains most of its hard assets,
including its cash and accounts receivable. Sellers also
keep their life insurance policy, which had built up a
sizable cash surrender value, and their company-owned
vehicle.
• The seller enters into a three-year employment
agreement with the buyer that allows the hours
allocated to the current business to ramp down while
steadily increasing the hours with the new employer
over the course of a year. This allows the seller to
complete the work under contract and collect the
outstanding fees. To motivate the seller to successfully
transition their clients to the buyer, the employment
agreement gives the seller a percentage of the net fees
earned from the seller’s existing client list for a period of
three years.
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• The buyer agrees to amend its professional liability
coverage to retroactively cover the seller’s prior acts. In
exchange, the seller agrees to assume responsibility for
any insurance deductibles related to the seller’s prior
acts.
This simplified framework brings advantages to both
sides.
Sellers are able to:
1. Retain the cash and accounts receivable earned prior to
the sale.
2. Finish outstanding work and collect fees for the work
under contract.
3. Secure professional liability insurance coverage for the
firm’s projects after selling the firm.
4. Realize some value for the goodwill and transitioned
client relationships.
Buyers have:
1. Reduced due diligence costs and risks associated with
the seller’s accounts receivable and unknowns
associated with completing the seller’s current projects.
2. Leveraged the seller’s portfolio as the seller transitioned
into full-time employment.
3. Created incentives for sellers to continue marketing to
their network of clients on behalf of the buyer.
VA L UI NG A F IRM
WHY M E RG E R A N D A CQ U I SI TI ON
D E A LS FA IL
• Incompatible cultures
• No strategic marketing or operational synergies
• Inadequate time by key people to focus on crafting a
mutually beneficial framework
• Inadequate participation by key stakeholders
• Seller’s current owners not ready to relinquish control
• Different goals among seller’s shareholders
• Weak incentives for key people to remain
• Unrealistic expectations by buyer and/or seller
• Seller’s financials poorly organized or not credible
• Looming or undisclosed liabilities
• One or both parties inflexible on key terms
• Poor or inadequate advice
• Unanticipated issues by either party
The value of an architecture firm reflects a combination
of (1) its current net worth, and (2) its ability to generate
future profits. However, the valuation of a privately held
architecture firm is not an exact science, even when using
appropriate metrics. Unlike public companies with
widely traded stock, there are few market mechanisms at
work to define the value of architecture firms. In fact,
many of the factors used to value an architecture firm—history of net fees and profitability, backlog, ability to obtain new business—differ substantially from those used
to value asset-driven companies. By necessity, value judgments must be made when
valuing an architecture firm, such as the quality and depth of staff, sophistication of
management skills, marketing abilities, reputation, and industry outlook.
Valuation amounts also differ widely based on actual circumstances. For example,
ownership transitions executed over several years with the current owners remaining
are typically valued higher than transitions based on the current owners retiring or
phasing out of the day-to-day operations, and highly strategic external acquisitions are
typically valued higher than internal acquisitions. Stock purchases that include cash and
accounts receivable assets are valued higher than asset purchases that do not include
current assets or current liabilities. And acquisitions in which a majority of the acquisition price is allocated as other than goodwill for tax purposes, and thereby the buyer
can expense it, are valued higher than acquisitions largely allocated as goodwill and
which must be depreciated over many years.
Common Valuation Metrics for an Internal Sale
While calculating a firm’s current net worth is relatively straightforward, adjustments
need to be made for work in progress, assets that have been amortized or expensed for
tax reasons but still have a remaining useful life, discretionary bonuses other than those
considered part of employees’ expected compensation packages, unusual or one-time
expenditures, potential bad debts, and unusual liabilities that might not show up on the
firm’s balance sheet such as pending claims.
Calculating a firm’s ability to generate future profits is not as straightforward.
While some valuation consultants use the “discounted cash flow” method—a methodology that entails estimating future cash flow and discounting it to yield a present
value—this tends to place undue weight on future revenue, much of which is speculative at the time the valuation is performed. Other consultants look at a firm’s three- to
five-year financial history to project future performance, usually giving more weight to
recent years than prior years. Basing a valuation primarily on financial history is a
sound practice during times of economic stability but somewhat inaccurate during
times of rapid economic change.
An appropriate method relies on a combination of quantitative metrics to arrive at
a valuation range and then looks at a firm’s qualitative aspects to determine whether to
recommend a value at the higher or the lower end of the range.
5 . 6 O w n e r s h i p Tr a n s i t i o n s
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marketing and business development; financials, including cash flow and reinvestment planning; operations,
including design methodology, project delivery, and technology; human resources, including leadership development and mentoring programs; risk management,
including quality assurance and quality control; and facility integration. Special attention should be paid to areas
where the firms most differed in approaches before the
merger or acquisition.
Appropriate metrics to arrive at a quantitative range include:
PA R T 2 : F I R M M A N A G E M E N T
• Net worth (book value), adjusted to account for the fair market value of fixed assets,
assets expensed for tax purposes, accrued assets and liabilities, and other assets or
liabilities not reflected on a firm’s balance sheet.
• Net income, adjusted to account for owner’s market-rate salaries, discretionary
bonuses, and unusual or one-time expenditures. Placing more weight on recent
year’s earnings tends to result in a better prediction of future results.
• Net fees, defined as gross revenue minus reimbursable expenses and revenue attributable to outside project consultants. Again, placing more weight on recent year’s net
fees tends to result in a better prediction of future fees.
• Current backlog, defined as the amount of unearned net fees remaining on projects
under contract, with possible adjustments made for projects not yet funded or for
fees based on additional approvals.
The relative priorities and multipliers applied to each of these metrics often differ,
but they generally fall within a certain range. For example, some consultants value a
firm between 1 and 1.5 times adjusted net worth for an internal transition. Other consultants value a firm between 3 and 5 times net income or apply a percentage—25 to
50 percent of their average earnings—to a firm’s backlog.
Each of these metrics has limitations:
• Adjusted net worth measures the value of assets with adjustments for depreciation but
makes no provision for the worth of the firm as a going concern.
• Net fees and net income measures the firm’s ability to generate future fees and profits based
on recent history but does not take into account significant changes that might occur.
• Backlog does not guarantee future profits.
However, together they provide a credible range for the value of the firm.
The art of valuing a firm is in narrowing these ranges to gain a more precise indication of a firm’s value. To pinpoint a firm’s precise value entails highly subjective judgments, an in-depth understanding of that firm’s strengths and weaknesses, knowledge
about how that firm compares to its competitors, and an ability to forecast how that
firm will likely fare in the future.
To narrow a valuation range, rank a firm against a list of items that add or detract
from a firm’s value.
Items That Add Value:
• Ability to obtain business from new clients
• History of repeat clients
• Strong portfolio and marketing resources
• Market diversity
• Market penetration
• Intellectual capital
• Skills and experience of key staff
• Appropriate lengths of time that current owners can, and will, stay during a transition
• Quality and depth of future leaders
• Consistent profitability and growth
• Design and management skills
• Amount and quality of existing resources and assets
• Amount of backlog
• Lack of litigation history and/or current claims
• Strong programs and processes for quality assurance/quality control, staff development, orientation, recruiting, etc.
Items that Subtract from Value:
• Limited market focus, depth, or skills
• Preponderance of work coming from a single client/contract
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Organizational Development
•
•
•
•
•
•
•
•
•
•
•
Lack of diversification
Lack of strong repeat client base
Little or no leadership to carry the firm forward
Current owners want fast exit strategy
Most if not all decisions centrally controlled, with no mentorship program in place
to groom future leaders
Little regard for staff development
High turnover rate
Undercapitalized and/or poor cash flow
Financials not well organized or compliant with generally accepted accounting
principles (GAAP)
High marketing expenses and poor win rate, especially as it relates to design-build
or design competitions
High debt
Work appears overbilled or over-accrued
Little or no backlog, lack of growth history, poor profits
History of claims
Reliance on political contributions for client access
Lack of strong strategic advantages
PA R T 2 : F I R M M A N A G E M E N T
•
•
•
•
•
For many firms, an agreed-upon internal transition valuation methodology is
described within a shareholder agreement. The methodology adopted often becomes
baked into a firm’s culture over time and should be reviewed every few years to ensure
that it remains relevant and fair to all parties involved.
Common Valuation Metrics for an External Sale
Valuing a firm for an external sale is usually based on one or a combination of the following: (1) adjusted net worth with the same adjustments as made for an internal valuation; (2) a multiple of a firm’s EBIDTA—Earnings Before Interest, Depreciation,
Taxes, and Amortization—which has been a reliable metric in other industries and is
now becoming common within the design industries; or (3) a discounted cash flow,
which again entails a certain level of inaccuracy about future performance.
Valuation opinions predictably differ between a buyer and a seller and can best be
resolved through candid discussions involving those who place importance on the strategic reasons for the acquisition and those who place importance on the seller’s financial history. Although some rules of thumb can establish the proper range of valuation,
the precise values can differ based on the motivations of buyers and sellers, their
respective views about the market, and the terms negotiated between the parties.
For example, some buyers place higher values on opportunities to enter new markets,
acquire specialized knowledge, or gain access to specific clients. Other buyers place greater
importance on a seller’s history of cash flow and profitability. Likewise, sellers often modify their asking price based on a variety of issues, such as the ability to retain their identity
and day-to-day control, the amount of guaranteed payments versus earn-out payments,
and the terms of their employment or consulting agreements after the sale is completed.
SUM MARY
Regardless of whether firm owners decide to pursue an internal transition or an external sale, they should start early and allow ample time. Anticipate that not everyone
approached will be interested in assuming ownership or place the same financial value
on the firm as the current owners. Think about professional goals—ownership transitions represent a unique opportunity for architects to redefine their professional life.
Establish a realistic valuation that is easily measurable, understandable by all parties,
and accounts for changes in the firm’s profitability and future outlook. Above all, pay
close attention to how the transition will promote or change the firm’s current culture.
5 . 6 O w n e r s h i p Tr a n s i t i o n s
251
Fo r M or e In for m a t i on
Architect’s Essentials of Starting, Assessing, and Transitioning a Design Firm (Wiley, 2008)
by Peter Piven, FAIA, and Bradford Perkins, FAIA.
“Ownership and Leadership Transitions—Demystified” (Continuing Education course
at aecKnowledge, 2011): www.aecKnowledge.com.
5.7
Small-Firm Collaboration
PA R T 2 : F I R M M A N A G E M E N T
Linda Reeder, AIA, LEED AP
By collaborating with other architects, small firms can compete for and win a
broader range of projects without expanding their offices or staffs. This article
discusses the benefits and challenges of small-firm collaborations, different
collaborative models, and the keys to successful collaboration among small
architecture firms and other architects.
A
▶ Navigating Economic Cycles
(7.1) further discusses the
construction industry’s ups,
downs, and impact on architects.
rchitecture is by nature a collaborative enterprise; the skills and knowledge of
different design disciplines, construction trades, and material suppliers are
required to complete a building. While architects routinely collaborate with
owners, engineers, and others, down economies make collaboration among architecture firms more attractive. Bringing specialized expertise onto a proposed project team
can tip the balance in a competitive environment, and by working together architecture
firms can meet fluctuating workloads while minimizing employee layoffs or unnecessary hiring in an unstable economic environment. In a profession that lost 28 percent
of its positions from 2007 to 2011 (The Business of Architecture: 2012 AIA Survey Report
on Firm Characteristics, p. 5), competitive differentiation and staffing efficiency are key
concerns.
Small firms (fewer than 10 employees) made up more than 80 percent of all architecture firms in 2012, with about one-fourth of firms having only one employee (The
Business of Architecture [AIA, 2012], p. 7). In spite of—or perhaps as a result of—the job
losses in the profession, the number of single-person firms grew slightly from 2009 to
2012. These realities present both challenges and opportunities for small firms.
POTE N TIAL BE N E FI TS O F C O LLA BO R ATI O N
Project Acquisition
▶ See Chapter 6, Marketing and
Business Development, for more
information on project
acquisition.
In a slow economy with more firms pursuing fewer projects, building strong project
teams is essential. Small firms may be able to improve their chances, or become eligible
for work they wouldn’t pursue alone, by teaming with other architects. While larger
firms often have studios or departments focused on different project types, small firms
by definition have fewer people and thus fewer areas of specialization. By teaming with
carefully selected firms or individual architects, small firms can offer specific expertise
targeted to a client’s need. There are also opportunities to be the local associate for
another firm. On publicly funded projects, small firms certified as a small, minority,
Linda Reeder is a sole practitioner and the 2013 chair of the AIA Small Project Practitioners
Advisory Group. She is an associate professor at Central Connecticut State University, author
of Guide to Green Building Rating Systems (Wiley, 2010), and associate editor of The Architect’s Handbook of Professional Practice, 15th edition.
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disadvantaged, veteran-owned, or woman-owned business may be attractive collaborators for firms lacking such designation.
Small firms can serve in different roles; the same firm may be a consultant on
one project and the lead firm on another. For example, owing to its historic preservation and interior design expertise, Flesher + Foster (F+F) of Pacific Grove, California, served on teams as consultants and associated architects, but also capitalized
on its local knowledge to be the prime architect in an affordable senior housing
project. Former Principal Gretchen Flesher, AIA, says, “Flesher + Foster teamed up
with Robert Herman, FAIA, of Herman & Coliver: Architecture (now Herman
Coliver Locus Architecture, or HCLA), for the RFQ. HCLA is nationally recognized for numerous affordable and senior housing projects. We got the job due to
our strong local reputation and the added expertise the project required.” Neither
firm would have pursued the project alone; HCLA’s experience was with larger,
urban developments, and while F+F had experience with the California Coastal
Commission and local regulatory boards, they were short on specific project type
experience.
In Middleburg, Virginia, two small local firms were among four firms invited to
compete for a privately funded library project. Clites Architects, PC, and Turnure
Architecture decided to join forces instead of competing against one another. Principals Tim Clites, AIA, and Bill Turnure, AIA, knew each other—and were known in their
small community—through their volunteer work on the Middleburg historic commission. The other two invited firms had a local presence which was not based in Middleburg. Tim Clites says, “We won the project over more experienced firms with a history
of library work. The committee was very focused on making the library expansion a
‘community effort’—from their fundraising efforts to their selection of professionals
and contractors. By teaming up we made it especially positive to select us: they were
getting two local firms for the same one firm fee. It was a good lesson to learn early in
my new firm: Make it easy for the owner to get to YES.”
For publicly funded projects, Requests for Proposals (RFPs) may include incentives
for including certified minority- or women-owned business enterprises (MBE and
WBEs, respectively), firms owned by disabled veterans, or other disadvantaged business enterprises (DBEs) on the project team. Firms certified in the state or municipality may be invited to join a project team based on the advantage their certification
brings.
Teaming agreements, or memorandums of understanding, define the roles, responsibilities, shared costs, exclusivity, confidentiality, and other terms as firms pursue work
together. In addition to defining aspects of the project acquisition phase, teaming
agreements identify the contractual relationship among parties if the project is awarded.
Formally defining these details of collaboration can define expectations and prevent
misunderstandings. “We have an open-door policy on how we bring work in. If another
architect wants to collaborate with us on a proposal, or a specific project, we create a
project specific agreement and work together until the project is complete,” says Buddy
Poppitt, Principal of Hangar 41, LLC, in Denver. “We don’t have to lead the project,
but the collaborative must be a good fit. That’s the most important thing about collaboration. You have to be on the same page when you start, have similar values, and
the same expectations on the project.”
▶ See the backgrounder, WBE/
MBE/DBE/SBE Certification, that
accompanies Regulation of
Professional Practice (3.1) for a
more detailed discussion of
certified minority- or womanowned enterprises,
disadvantaged business
enterprises, and small business
enterprises.
▶ Project Team Agreements
(17.2) addresses agreements
with consultants and
establishment of joint ventures
between firms.
Flexible Staffing
Teaming with other architects can help small firms take on projects that are larger than
their current staff can produce, yet provide the flexibility to avoid a damaging cycle of
hiring and laying off employees while waiting for the workload to stabilize. There is a
range of possible structures for collaboration, from formal prime-consultant or joint
venture agreements down to an independent contractor agreement for a single freelance architect.
5.7 Small-Firm Collaboration
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Hiring one employee in a small firm increases the office size by a significant
percentage, and depending on the firm’s projected workload may not be a sustainable option. Firms can reduce their exposure by hiring an independent contractor
to work as needed. There are positives and negatives for both parties in such an
arrangement.
Potential Advantages Include:
• The firm has extra help with no strings attached should the workload decrease, and
no overhead costs such as employee benefits or training.
• The firm may gain specialized expertise, depending on the individual contracted.
• The contract employee generates a fairly predictable revenue stream while pursuing
other opportunities (which may include permanent full-time employment, building
their own practice, or other contract work).
• The contract employee has more autonomy than a traditional employee in terms of
setting their schedule and pay rate, choosing what projects to accept, etc.
• The parties may learn from each other.
E MP LOYEE OR IN DEPEN DEN T
CONT R AC T OR?
Facts that provide evidence of the degree of control and
independence fall into three categories:
• Behavioral: Does the company control or have the
right to control what the worker does and how the
worker does his or her job?
• Financial: Are the business aspects of the worker’s job
controlled by the payer? (These include things like
how worker is paid, whether expenses are
reimbursed, who provides tools/supplies, etc.)
• Type of Relationship: Are there written contracts or
employee-type benefits (e.g., pension plan, insurance,
vacation pay, etc.)? Will the relationship continue, and
is the work performed a key aspect of the business?
Businesses must weigh all these factors when
determining whether a worker is an employee or
independent contractor. Some factors may indicate that the
worker is an employee, while other factors indicate that the
worker is an independent contractor. There is no “magic”
or set number of factors that makes the worker an employee
or an independent contractor, and no single factor stands
alone in making this determination. Also, factors that are
relevant in one situation may not be relevant in another.
The keys are to look at the entire relationship,
consider the degree or extent of the right to direct and
control, and finally, to document each of the factors used
in coming up with the determination.
If, after reviewing the three categories of evidence, it
is still unclear whether a worker is an employee or an
independent contractor, Form SS-8, Determination of
Worker Status for Purposes of Federal Employment Taxes
and Income Tax Withholding (PDF) can be filed with the
IRS. The form may be filed by either the business or the
worker. The IRS will review the facts and circumstances
and officially determine the worker’s status.
Internal Revenue Service, reprinted from www.irs.gov
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Organizational Development
Disadvantages May Include:
• Because the firm has to make less of a commitment to an
independent contractor than to an employee, the contractor may be less committed to the firm. This could
result in contractors moving on to another opportunity
before the firm wants their services to end. Contractor
turnover can be disruptive, just as employee turnover is.
If feasible, paying contractors a fee for the project
rather than an hourly rate provides more security for
both parties and a corresponding obligation to stay on
until the project is completed. This arrangement will
require more work up front in the agreement to define
a scope of services. If a freelance architect is brought on
to help with production rather than complete defined
tasks, creating such an agreement might not be feasible.
• If a contractor is committed to the firm, they may miss
out on other professional opportunities.
• The contractor may have professional obligations outside the firm, making it difficult for them to work additional hours if needed.
• There are tax implications if IRS rules are not followed
correctly. Consult a tax adviser or the IRS to make sure
an architect paid as an independent contractor cannot be
classified as an employee.
• There is less stability for a contractor than for an
employee.
• There may be challenges in developing and institutionalizing internal office standards, best practices, and other
elements of a firm culture that require stability and
long-term commitment from staff.
• If firms contract with experienced architects instead of
training and mentoring interns, employment options for
emerging professionals may narrow. This could have
long-term implications for the profession.
Another option for managing staffing is to loan out or
borrow employees from another firm. The AIA Colorado
is one AIA component that facilitates an employee share
network to help member firms balance workload and
PA R T 2 : F I R M M A N A G E M E N T
staffing. Informal arrangements also exist. Gerald Martin of Martin & Martin Architecture Inc. in Chesapeake, Virginia, says, “I was a ‘lent’ employee back in the [economic] correction in the ’70s. I continue to use my peers’ staffs from time to time. For
me in the ’70s it was great—I got to keep my check and benefits from my employer
with no lapse in either, and I got to see firsthand how the other guys did it. On opening
my own practice in ’83, I used the same firms to which I had been lent/contracted to
undertake much larger projects, and used these firms’ employees to my complete satisfaction. I would not hesitate to use another’s or to lend our staff.”
Instead of lending employees, an entire architecture firm may step in behind the
scenes to aid another with their workload. For example, James Hundt of Foresight
Architects in Schenectady, New York, says, “At some times, we have provided drafting
services for firms that couldn’t keep up, and at other times we have subbed out drafting
to drafting firms or contract drafters (sometimes former employees). Just like with any
client, we negotiate scope, schedule, and fee ahead of time so that there are no unpleasant surprises. It has been a good way to balance the workload and has allowed us to
keep valuable employees during slow times.”
Learning Oppor tunities
Collaborating with other architects offers opportunities to learn from them, from
design approaches to marketing to business strategies and practices. These opportunities can be particularly welcome to solo practitioners. Tim Clites, AIA, who teamed
with another firm soon after starting his own, said that exchanging design critiques was
one benefit of the collaboration. Leslie Saul, AIA, IIDA, of Leslie Saul & Associates in
Cambridge, Massachusetts, said of her experience working with other architecture
firms, “Solving problems for your peers is fun; I like teaching. Getting help in solving
problems from your peers is fun; I like learning.”
Gustavo Berenblum, AIA, who has worked for firms serving as executive architect,
associate architect, and joint venture partner, said, “I’ve built a big part of my professional career collaborating with world-renowned firms to complete projects here in
Miami. I have learned and grown immensely through these collaborations and I find
myself thinking about it often. Personally, I find it extremely rewarding—usually architects compete with each other, but when you are on the same team, you learn a lot.
Then you have different tools for thinking about things on your own projects. Furthermore, good collaborations make a project stronger, as it benefits from the talent and
strengths of both firms and the synergy that is created between them.”
In addition to learning through project collaboration, some architects join peer-topeer groups to confidentially share and learn from the business experiences of similar firms
in noncompeting markets. In 2012, the AIA was facilitating the formation of self-moderating peer-to-peer networks. The preliminary guidelines describe “a program developed
for the architectural profession and its leaders who recognize the need to sharpen skills,
share experiences, offer advice, and learn from their peers better ways to run a successful
business. It helps tackle the day-to-day complexities of working in a time when the architecture industry is faced with many difficult challenges.” There are also consulting companies that coordinate peer-to-peer roundtables, bringing together firms, organizing
conference calls, and facilitating meetings. The representatives of participating firms share
financial numbers, insurance information, and other practice data—“Everything you share
with your partner,” as one participant described it—in a confidential environment.
E L E M E NT S OF SUC C ESSF U L C OLLABO R ATI O N
Profitability is an important measure of success. However, intangibles such as reputation, client satisfaction, and laying the groundwork for future project and firm successes
are also important. Choosing the right collaborators, establishing effective communication, and clearly defining roles and responsibilities can increase the likelihood of a
5.7 Small-Firm Collaboration
255
successful outcome. The following issues should be discussed when considering or
establishing a collaborative endeavor:
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• People
• Role expectations
• Skills/experience
• Time expectations
• Fee sharing
• Firms
• Design and service quality
• Noncompeting market positions
• Reputation
• Commitment to the collaborative process
Technology
• Design and production software capability
• Preferred communication tools
• Processes
• Decision making
• Work coordination
• Dispute resolution
• Credit sharing and project promotional efforts
(List adapted from The Jericho Principle: How Companies Use Strategic Collaboration to Find New Sources of Value (Wiley, 2003) by Ralph Welborn and Vincent Kasten, p. 158)
Firms and People
Choosing appropriate collaborators is essential. The expertise each party brings to the
project should be complementary and necessary. Each firm should have familiarity with
the project type, the client, the locality, or another element that is crucial to acquiring
and completing the work. Victor Latavish of Victor J. Lativish AIA Architect, a threeperson firm in Naples, Florida, warns that firms should also take care in choosing collaborators who will not create unfriendly competition for future projects. His firm had
a successful collaboration with Reynolds, Smith, and Hills (RS&H), a national AE firm
with eight offices in Florida. Latavish invited RS&H to pursue a $12 million, 58,000
square foot Special Operations Building for the Collier County Sheriff’s Office in
Naples. Victor J. Lativish AIA Architect was the prime consultant and design architect,
responsible for design, project management, and local construction contract administration. Charles Gutekunst, AIA, was the principal for RS&H, the architect of record
in charge of construction documents.
Latavish chose RS&H to collaborate because:
• RS&H’s expertise in schools demonstrated proficiency and showed capability in
executing large projects with complex programs—a good fit for the project he was
pursuing.
• RS&H’s regional office did not do a lot of civic work, so he did not see them as a
competitive threat to his firm, which focuses exclusively on civic and religious architecture.
• The principals had worked together at another firm in the past. This previous
relationship made Latavish confident that the collaboration would be easy and
successful.
Many small-firm practitioners have found that previously working together with
an individual in other capacities—for example, as colleagues at another firm, as
described above, or serving on the same community board, in Tim Clites and Bill Turnure’s case—gave them the confidence that they could collaborate effectively.
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Communication
While the diversity of knowledge and skills that dispersed team members bring is valuable, when collaborators are not co-located there is a potential loss of informal communication and bonding that can intensify conflicts. The Internet and related
tools—web-based video conferences, ftp sites, e-mail, etc.—make virtual collaboration
easier and affordable, but they do not replace face-to-face meetings. Isaac Kohane, a
researcher at Harvard Medical School, reviewed 35,000 peer-reviewed papers and
charted the locations of the coauthors. He found that the most cited (and therefore
most influential) papers were coauthored by scientists working within 10 meters of
each other. By contrast, the least cited papers were written by people more than a kilometer apart. Kohane concluded that frequent physical spontaneous interaction helps
people work together effectively (“Groupthink,” Lehrer).
Architects routinely and successfully work with engineers and other consultants
with whom they do not share an office space, but in-person progress meetings contribute to this success. Researchers have found that “periodic face-to-face meetings of
dispersed team members can be particularly effective for initiating and maintaining key
social processes that will encourage informal communication, team identification, and
cohesion.” In their study of software developers, researchers found dispersed teams can
outperform co-located ones because of their expertise, but the teams have to be set up
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At the same time, integrating new players into established collaborations can result
in new perspectives and ideas. Sociologist Brian Uzzi studied Broadway musicals as a
model of group creativity. He found that while creative teams who had collaborated
before had more success than ones who had not, the most successful teams were a mix
of old and new—people comfortable with one another who worked efficiently together,
combined with unfamiliar people who brought new ideas or challenged old ways of Treat others as you wish to be
thinking (Jonah Lehrer, “Groupthink,” The New Yorker, January 30, 2012).
treated.
The attitudes of the individuals are also significant. Trust and respect are crucial,
—The Golden Rule
which is part of the reason collaborations among familiar team members are more successful (“Eight Ways to Build Collaborative Teams” by Lynda Gratton and Tamara J.
Erickson, in Collaborating Effectively [Harvard Business
Review Press, 2011]). Regardless of the hierarchy of the
E M O TIO N A L IN TE LLIG E N C E I N
contractual relationship—consultant or prime, design
G RO U P S
architect or architect of record—participants want their
ideas to be heard, and their contributions acknowledged.
“Three conditions are essential to a group’s effectiveness:
Since collaborators are generally chosen because of the
trust among members, a sense of group identity, and a
value they bring to the team, ill will and discord may result
sense of group efficacy,” researchers of group emotional
when their contributions are ignored. The design solution,
intelligence have found. Norms that can support these
technical aspects, or even project finances may be affected,
behaviors include:
as the party discounting the value of their collaborators’
• Be self-aware as a group. Assess strengths and
input is paying for contributions they do not value.
weaknesses; for example, encourage members to
“While we are a woman-owned firm, we have eschewed
speak up if they think a meeting isn’t being
getting certification,” says Sara O’Neil-Manion, AIA, of
productive, or gently call out a member whose mood
O’Neil & Manion Architects P.A. in Bethesda, Maryland.
or attitude is negatively affecting the group.
“If people want to hire our firm, it is for our competence,
• Create an affirming environment where members are
not because of gender.” The firm has been engaged in many
supported and a positive attitude prevails—but allow
successful collaborations. Numerous firms that have
the occasional break for moaning and complaining.
received MBE, WBE, or other certification have also col• Employ proactive problem-solving; instead of
laborated successfully, particularly when valued for more
despairing at a setback, work together to overcome it.
than their certificate. One firm owner who has collaborated
with several architects as a WBE firm describes both good
“Building the Emotional Intelligence of Groups” by Vanessa
and bad experiences. “Some firms are respectful of experUrch Druskat and Steven B. Wolff, in Collaborating Across
Silos (Harvard Business Review Press, 2009), pp. 176–86.
tise, and some need a WBE and want the client to think
they have expertise—but then do what they want to do.”
PA R T 2 : F I R M M A N A G E M E N T
and managed well to succeed. One suggestion is to hold extended project kickoff meetings so people share an understanding of the work and start to build some cohesion as
a team. A team leader in the study recommended going out socially as a group before
starting the collaboration (“How to Manage Virtual Teams” [MIT Sloan Management
Review, 2009] by Frank Siebdrat, Martin Hoegl, and Holger Ernst).
While Victor Latavish’s team communicated and shared
drawings via e-mail and an FTP site during their collaboraH OW WEL L- PREPARED ARE THE
tion with RS&H, Latavish says, “Face to face does matter—
P OTEN T IAL C OL LAB ORAT O RS TO
we would still have in-person meetings, and we always
COMM U NICAT E EFFIC IENT LY ?
brought hard copies of prints to look at.” Determining the
preferred methods of virtual communication and file sharFactors to consider:
ing early is also helpful. In terms of information technology,
• Degree of shared experience
“simplicity, ease of use, and familiarity are far more impor• Similarity of cultures, or understanding of cultural
tant than functional sophistication” (“Harnessing Your
differences, or commitment to collaboration
Staff’s Informal Networks” by Richard McDermott and
• Similar measures of success that account for
Douglas Archibald, in Collaborating Effectively, 2011).
•
•
•
•
innovation and collaboration
Business processes that can work together
Compatible software applications and platforms
Similar technologies
Shared communication channels
Clearly Define Responsibilities
Defining roles clearly is important when working with
other architecture firms, just as it is working with other
disciplines. “Collaboration improves when the roles of the
Adapted from Welborn and Kasten, 2003
individual team members are clearly defined and well
understood—when individuals feel that they can do a significant portion of their work independently,” researchers have found (Gratton and
Erickson, Collaborating Across Silos, 2009). Architects are accustomed to defining roles
among different disciplines and can apply the same tools when working with other
architects.
For example, of the affordable senior housing development collaboration between
F+F and HCLA, Flesher says, “HCLA was involved in the programming, public workshops, early design proposals, approvals, specifications, value engineering, and general
overview of the development of the project. F+F managed the project through a
lengthy local and state approval process, design development, construction documents,
consultant coordination, cost estimating/value engineering, and construction administration, and postoccupancy coordination. The team functioned well together with the
bulk of the production work done in the F+F office and the coaching and expertise
coming from Bob Herman of HCLA.”
BR Architects, Inc. of Richardson, Texas, regularly collaborates with other firms.
▶ Defining Project Services
Director
of Architecture/Engineering Bradford Russell, AIA, PE, says that in these
(15.1) and Services and
Compensation (15.2) address the collaborations BR Architects is involved in general architectural document preparation
and structural engineering, another firm does the interior architecture, and a third firm
centrality of scope definition to
handles
construction administration. “Everyone knows what their task is—we have not
effective agreements and the
had problems with continuity,” says Russell.
variables involved in determining
In addition to delegating tasks clearly among architecture firms, multi-architect
compensation for architectural
teams must also make sure the client understands how the team works—that there is a
services.
single point of responsibility and communication for the owner (and who that is), and
how they benefit from the skills of all.
Determining how a fee will be shared or how a consulting architect will be compensated will involve the same negotiations and considerations of value, effort, and risk
as in any fee arrangement, with many team and project-specific elements affecting the
outcome.
C H ALLE N GE S FO R C O LLA BO R ATI O N
Anytime a firm tries new processes, including the intimate process of collaboration,
there are unknowns and hence risks. One tool for assessing the pros and cons of a
258
Organizational Development
• Evaluate the importance to each firm: How significant is each risk or opportunity
in terms of the future success of the firm? Rate each from 0 to 5, with 0 equal to no
importance and 5 a matter of survival. These ratings are the Risk Importance (RI)
or Opportunity Importance (OI).
• Evaluate the perceived likelihood of both risk and opportunity and rate them from
0 to 5, with 0 equal to no chance and 5 equal to a 100 percent certainty. These
numbers are the Risk Likelihood (RL) or Opportunity Likelihood (OL).
• The value of the risk or opportunity can be assessed by multiplying the Risk or
Opportunity Importance by the Risk or Opportunity Likelihood, respectively. The
result is the Risk or Opportunity Value: that is, Value = Importance × Likelihood.
The distribution of risks and opportunities between or among architecture firms is
a factor in determining the suitability of collaboration, but by no means the only factor.
Firm A
Risk
Importance (RI): 0-5
Likelihood (RL): 0-5
Risk element Value (RV) = RI x RL
RI
RL
RV
Opportunity
Importance (OI): 0-5
Likelihood (OL): 0-5
Value (OV) = OI x OL
OI
OL
OV
Balance
Firm B
Risk
Importance (RI): 0-5
Likelihood (RL): 0-5
Value (RV) = RI x RL
RI
RL
RV
Risk
Opportunity
Importance (OI): 0-5
Likelihood (OL): 0-5
Value (OV) = OI x OL
OI
OL
OV
Opportunity
Firm A RV Firm A OV
minus
minus
Firm B RV Firm B OV
Client
Loss of client, theft of
client
Client acquisition, client Loss of client, theft of
retention client
Client acquisition, client
retention
Diminished reputation
Enhanced reputation Diminished reputation
Enhanced reputation
Reputation
Governance
Differences in decisionmaking norms prevent
cooperation
Differences in decisionFirm decision-making
making norms prevent
processes enhanced
cooperation
Difference in decisionmaking norms prevent
cooperation
Perceived reduction in
value
Enhanced quality and Perceived reduction in
client satisfaction value
Enhanced quality and
client satisfaction
Quality
Financial
Opportunity costs,
collaboration costs
Access to necessary Opportunity costs,
resources for project collaboration costs
Access to necessary
resources for project
Loss of best practices
Enhanced processes Loss of best practices
Enhanced processes
Execution
(Based on concepts